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Compliance Assistant

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Jack Merriott

  • Contact email:

  • Contact phone:

    020 3778 0846

  • Job ref:

    MEJ 11568

  • Published:

    12 months ago

  • Expiry date:


​Our Client

Our client, a global investment management firm, is seeking a compliance assistant to join their London offices.

The successful candidate will carry out day-to-day monitoring and surveillance, focus on updating and maintaining regulatory compliance implementation, and assist in preparing materials for regulatory requests, internal/external audits and provide compliance oversight in committee meetings.

Main Duties

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

  • Update and maintain quarterly monitoring plans of regulated entities

  • Maintain compliance registers - the breaches registers, gifts and benefits registers, complaints logs

  • Prepare reports on compliance testing results and identification of exceptions

  • Support on maintenance and updates of restricted lists and insider lists

  • Schedule regulatory filings and other periodic obligations

  • Manage employee completion of compliance certifications and training

  • Assist with the annual reviews of staff under SMCR

  • Assist with preparation of regulatory submissions and application forms

  • Assist with the expert network approval process for the EMEA region

Your Profile

  • Minimum 1-2 years of experience in a professional support role or as a paralegal (legal/compliance support preferred) at a private equity fund, hedge fund or other asset management firm, law firm, compliance consulting firm or investment bank

  • Knowledge of UK and EU regulation and/or compliance requirements desirable, including FCA rules and guidance

For more information about this position, please get in touch with Jack Merriott.


Phone: 020 3778 0846

Reference Code: 11568

About Rutherford

Rutherford is a boutique search firm located in London. Our consultants are 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.