Our client, a AIM-listed wealth manager, is currently looking for a Compliance Analyst to join its London-based Compliance team. With offices around the globe, the firm currently has tens of thousands of clients, mostly private individuals.
The successful candidate will be reporting into the firm's Chief Risk Officer (CRO).
Key responsibilities for this position will include, but are not limited to:
Maintaining and updating a comprehensive suite of compliance policies and manual
Making sure that all PA and PDMR dealing policies are understood and followed by members of staff
Managing Companies House filings, authorisations, etc.
Ongoing maintenance of company errors and breaches log
Managing the maintenance of SMCR amongst certified staff
Managing the roll out of firm-wide compliance training
Providing ongoing support to the Chief Risk Officer in their position and duties as MLRO and DPO
Assisting with the creation and review of meeting packs for senior management and board committees
Assisting with Regulatory News Service announcements
Providing assistance with other general compliance activities, as required
2-3 years of experience in a compliance role within the financial services sector, preferably in wealth management
Strong familiarity with FCA systems and returns
Previous experience with compliance policies and manuals, and their maintenance
Experience in minute taking and general governance experience
Experience in data protection and money laundering also desirable for this role, though not essential
Salary is up to £45,000 + excellent flexibility to work from home and choose your own hours.
For more information about this position, please get in touch with Georgina Housden.
Phone: 020 3778 0846
Reference Code: 11319
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, 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.