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Compliance Associate

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jack Merriott

  • Contact email:

    jack@rutherfordsearch.com

  • Contact phone:

    020 3778 0309

  • Job ref:

    MEJ11318

  • Published:

    about 2 months ago

  • Expiry date:

    2021-11-16

Our Client

Our client, a leading global investment manager, is currently looking for a Compliance Associate to join its London office. The firm invests in a broad asset class spectrum, which includes hedge funds, real estate and private equity.


The successful appointee will be joining a small compliance team and be responsible of a broad range of compliance matters.

Main Duties

As Compliance Associate, you will be contributing to the running of the UK's compliance function. Key responsibilities for this role will include, but are not limited to:

  • Advising and guiding the business on regulatory and compliance matters as needed (MiFID II, AIFMD, SMCR, etc.)

  • Reviewing and signing off marketing materials

  • Providing advisory support on compliance matters in relation to the business' distribution activities in Europe

  • Analysis and interpreting regulatory developments

  • Providing assistance with the conduct of risk assessments, gap analysis, monitoring and testing

  • Overseeing and ensuring the submission of regulatory filings to the FCA

  • Maintaining the core compliance regulatory registers

  • Supervising some of the UK Compliance activities where appropriate

  • Providing assistance with the implementation and development of the business' compliance training program

Your Profile

  • A minimum of 3 years' experience in a broad compliance position, ideally within the wealth management or asset management space

  • A solid understanding of the regulatory environment

  • A good working knowledge of financial services regulation

  • A legal background would be advantageous for this position

For more information about this position, please get in touch with Jack Merriott.
Email: jack@rutherfordsearch.com
Phone: 020 3778 0309
Reference Code: 11318

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 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.