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 expose you to the different facets of Compliance.
Key responsibilities will include, but are not limited to:
Assisting the Compliance Team in ensuring that the firm is at all times compliant with the provisions of the UK financial services legislation
Conducting thematic reviews as well as performing compliance monitoring duties
Providing compliance analysis, which includes auditing, organising and processing information and documents to ensure legal and regulatory compliance
Promoting actively a positive risk and compliance culture across the business
Advising and guiding staff in the development and monitoring of operational documents, procedures and computer systems to ensure effective compliance with FCA and other regulatory requirements
Liaising with other team members, either from the Compliance function or other business areas, to ensure that all training material take into account any identified trends
Carrying out the analysis of upcoming regulatory changes and the impact on the firm and its policies, procedures and materials
Maintaining compliance registers and documents
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
Technical knowledge appropriate to the role, which includes relevant computer systems
Relevant experience in capital markets or similar environment
Flexibility to work unusual hours on occasion and when required
Flexibility to travel around brand networks as required
For more information about this position, please get in touch with Jack Merriott.
Phone: 020 3778 0309
Reference Code: 11312
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.