Our Client
Our client, a renowned financial services firm that offers services such as Private Wealth Management, Wealth Planning and Capital Market services, is currently seeking a Compliance Analyst to join its London office.
The successful appointee will provide general support and assistance to the Compliance team. This is a varied role which will exposure you to the different facets of Compliance.
Main Duties
Key responsibilities will include, but are not limited to:
Providing compliance analysis through the audit, organisation and processing of documents and information, in order to ensure legal and regulatory compliance
Actively promoting a positive risk and compliance culture across the firm
Providing advice and guidance to members of staff when it comes to the development and monitoring of operational documents, procedures and computer systems
Actively liaising with the Compliance team and other appropriate stakeholders to ensure policies, materials and training take into account any identified regulatory trends
Ongoing maintenance of compliance registers and documents
Carrying out the analysis of upcoming regulatory changes and their impact on the firm when necessary
Conduct thematic reviews and perform compliance monitoring duties
Your Profile
A minimum of 2 years of compliance experience, gained either from an investment bank or a brokerage firm.
Familiarity with the FCA regulations
Relevant experience in capital markets or a similar environment
For more information about this position get in touch with Jack Merriott.
Email: jack@rutherfordsearch.com
Phone: 020 3778 0309
Reference Code: 11291
About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.
