Our client, a well-regarded Private Equity fund, are seeking a Compliance Associate/Officer to join their London team.
The role will report directly into the Compliance Manager and presents an exciting opportunity to join a growing team and leading fund.
Key responsibilities for this position will include, but are not limited to:
Updating and executing compliance policies and procedures and monitoring the business efficiently following the requirements set by FCA/SEC.
Providing guidance on AML/KYC.
Acting appropriately appropriately to meet any outstanding risks or compliance breaches and ensure that the desired culture and behaviours set by the business meet FCA/SEC requirements
Interpreting all relevant legislation and regulations and developing compliance standards that address all relevant regulatory requirements.
Responsible for the design and implementation of group wide compliance training.
Driving compliance monitoring activities
Maintaining current knowledge of laws and regulations, keeping abreast of recent changes
Minimum 3 to 4 years’ buy-side experience preferable although less experience will be considered too.
Experience in compliance monitoring required.
Knowledge of market abuse and financial crime required – this includes handling inside information, anti-corruption laws and anti-money laundering laws
Knowledge of debt funds and public trading required
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11560
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.