Our client is a leading global Private Equity firm with offices in London, Hong Kong and the United States. They are currently looking for a Compliance Associate to join their 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 superb exposure to a broad array of regulatory matters across multiple jurisdictions.
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.
4-7 years' experience in a similar compliance role at an asset manager or private equity firm
Good technical skill 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.
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.
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.