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Compliance Analyst

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jack Merriott

  • Contact email:

    jack@rutherfordsearch.com

  • Contact phone:

    020 3778 0309

  • Job ref:

    MEJ11337

  • Published:

    about 1 month ago

  • Expiry date:

    2021-11-25

​Our Client

Our client, a renowned asset manager which specialises in alternative investment strategies, is currently looking for a Compliance Analyst to join its London team.

Reporting into the firm's Compliance Officer, the successful appointee will be providing day-to-day support to the firm's UK Compliance team. This is a truly generalist position which will allow you to further develop your compliance skillset.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Maintaining and managing the firm's Code of Ethics system (including PA dealing, G&E, etc.)

  • Performing administrative duties for the Compliance team such as updating the Code of Ethics system, processing invoices, maintaining and updating records, etc.

  • Conducting Compliance training for new members of staff as well as reviewing the business' training framework

  • Monitoring the team's compliance with the firm's policies and procedures

  • Registering individuals with the firm's global regulators and performing ongoing reviews of registered/certified people

  • Providing assistance with the SMCR framework

  • Being involved in the review and maintenance of the business’ economic sanctions controls

  • Being involved in the due diligence process for business relationships

  • Assisting in providing information for client and regulatory reporting

  • Monitoring changes in the regulatory landscape and analysis potential impacts on the firm

  • Being involved in the drafting, review and maintenance of the firm’s compliance policies and procedures

  • Any other compliance-related duties

Your Profile

  • Educated to degree level and good academics

  • Previous exposure to or experience in the compliance sector would be preferable, especially if gained within a financial services firm

For more information about this position, please get in touch with Jack Merriott.
Email: jack@rutherfordsearch.com
Phone: 020 3778 0309
Reference Code: 11337

About Rutherford

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.