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Compliance Analyst

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Alexia Brodie Cooper

  • Contact email:

    alexia@rutherfordsearch.com

  • Contact phone:

    020 7183 0070

  • Job ref:

    ABC11508

  • Published:

    about 1 month ago

  • Expiry date:

    2022-05-19

Our Client

Our client, a leading asset management firm, is currently seeking a Compliance Analyst for its London office. Reporting into the UK Head of Compliance, the successful candidate will be providing compliance support and advice to the business to ensure that business activity is compliant with FCA rules.

Main Duties

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

  • Executing the annual CMP (Compliance Monitoring Programme)

  • Being the main compliance point of contact for the firm’s other departments

  • Keeping abreast of the regulatory changes and developments which could potentially affect the business

  • Proactively implementing new policies and procedures within the business

  • Providing compliance training to the firm’s members of staff

  • Supporting the UK Head of Compliance on any other ad hoc compliance projects and duties

Your Profile

  • Previous experience working for an asset manager will be desirable for this position

  • A good understanding of the legal and regulatory framework

  • A sound working knowledge of investment products and services

  • A qualification such as IMC Unit 1 or ICA Certificate in Compliance


For more information about this position, please get in touch with Alexia Brodie Cooper.
Email: alexia@rutherfordsearch.com
Phone: 020 7183 0070
Reference Code: 11508


About Rutherford
Rutherford is a boutique search firm located in London and New York. 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.