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Compliance Associate

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Alexia Brodie Cooper

  • Contact email:

  • Contact phone:

    020 7183 0070

  • Job ref:


  • Published:

    27 days ago

  • Expiry date:


​Our Client

Our client, a leading investment firm, is currently looking for a Compliance Associate to join its London office. The firm advises across a broad asset class spectrum, including well-known strategies such as hedge funds, private equity and real estate.

Main Duties

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

  • Providing regulatory and compliance advice across a range of issues including product governance, suitability, financial promotions and relevant regulation

  • Reviewing and signing off marketing materials

  • Interpreting and analysing regulatory changes and developments

  • Providing assistance in conducting risk assessments, gap analysis, monitoring and testing

  • Ensuring all regulatory returns to the FCA are submitted in a timely manner

  • Maintaining compliance registers

  • Providing assistance with the compliance of AML requirements

  • Any other ad hoc compliance projects as needed ​ ​

Your Profile

  • At least 3 years of compliance and/or legal experience within wealth or asset management

  • Good working knowledge or European and UK regulation

  • Strong academic record

  • Proven ability to work independently and multi-task within a fast-paced environment

For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 020 7183 0070
Reference Code: 11403

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.