Our Client, a global alternative investment firm with c. $100bn in AuM, is currently looking for a Compliance Analyst to join its London office.
The Compliance Analyst will be a key member of the firm's small compliance team, contributing in the maintenance of best-in-class compliance standards. This role will be part of a new investor communications and marketing team, and the position's main purpose will be to assist with legal and compliance matters in connection with marketing material compliance review and approval as well as investor communications. The successful candidate will also be working closely with the firm's global legal and compliance team.
Key responsibilities for the role will include, but are not limited to:
Reviewing marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies
Assisting in maintaining internal logs and records of approved marketing materials and investor communications across Europe
Providing support in relation to materials responsive to existing investors’ compliance and legal related queries
Assisting in the maintenance of internal policies and procedures as well as regulatory guidance in regard to marketing
Providing assistance in the coordination of registration of products across Europe and updating register of products
When required, assisting colleagues with jurisdictional guidance on AIFMD/MiFID as well as other European marketing regimes
Previous experience at a law firm, an audit firm and/or an investment manager
Experience in a relevant compliance position
An understanding of AIFMD, MiFID and other European marketing regulations, highly desirable
For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 020 7182 0070
Reference Code: 11315
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.