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.
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
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
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.