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Compliance Associate

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Emma Karslake

  • Contact email:

    emma@rutherfordsearch.com

  • Contact phone:

    02037780309

  • Job ref:

    EKA011

  • Published:

    29 days ago

  • Expiry date:

    2021-04-04

​Our Client

Our client, a leading global Private Equity firm with offices in London, Hong Kong and the United States, is currently looking for a Compliance Associate to join its London team.

This is an excellent opportunity for any professional looking to develop their compliance skills in a fast-paced and challenging environment. The role presents super exposure to a broad array of regulatory matters across multiple jurisdictions.

Key Duties

  • Primary responsibility will be to assist with the Compliance Monitoring Programme

  • Accurate reporting of the Compliance Monitoring Programme results and escalating breaches appropriately

  • Ensuring the compliance monitoring procedures and regulatory reporting procedures are kept up to date and that they continue to evolve in line with regulatory changes

  • Provision of regulatory advice to business lines operating in the UK

  • Assisting with and collating accurate information to ensure submission of timely regulatory filings

  • Reviewing and approving financial promotions

  • Completing due diligence questionnaires

  • Onboarding new managed accounts, rebate agreements and intermediaries

  • Writing, reviewing and updating policy documents

  • Keeping up to date with international regulatory developments and amending procedures, assisting with updating of international selling restrictions in relevant jurisdictions and developing and rolling out periodic compliance training to employees

Your Profile

  • 4-7 years' experience in a similar compliance role at an asset manager or private equity firm

  • Good technical skills across the main central compliance areas and overall a broad range of compliance capabilities across the range of disciplines

  • Stakeholder management is crucial, the candidate must have the capability and knowledge to influence and advise senior management teams

  • Excellent judgment as to when to act autonomously and tackle issues to positive resolutions and knowing when to escalate matters

Due to the high volume of applications, if you haven't heard back from the Rutherford team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.

About Rutherford

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.

Remote Working

We are currently looking for regionally-located compliance specialists from the following areas who would be interested in working for London firms on an interim working from home basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.

We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.