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.
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
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.
Phone: 020 3778 0309
Reference Code: 11337
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.