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Compliance Manager

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    02078701019

  • Job ref:

    BAJ060

  • Published:

    23 days ago

  • Expiry date:

    2021-04-11

​Our Client

Our client, a global investment firm with offices in Europe and Asia, is currently looking for a Compliance Manager to join their London team.

This presents a fantastic opportunity to join a small team of individuals who always go the extra mile and take ownership of their responsibilities and objectives. The role reports to the firm's Head of Risk and Compliance.

The Role

The successful candidate's focus will be on the framework elements of compliance as well as some risk components. Since there is also an opportunity to get involved in the investment compliance due diligence for deals, sound knowledge of AML, KYC and ABC will be desirable for this role.

Key Duties

  • Lead database searches for pre-investment anti-bribery, anti-money laundering and other risk due diligence and post-investment monitoring. Screen and maintain the global PEP, Report and record any violations or suspicions of bribery and corruption and money laundering

  • Assistance in the production and automation of appropriate reporting for the firm's Risk and Compliance Committee as well as the Audit and Risk Committee

  • Act as the SME for data protection and other duties related to GDPR

  • Implementation of conflicts of interest frameworks

  • Assistance in the implementation of a compliance and risk oversight framework for third party suppliers

  • Support with the data collation and process for insurance programs

  • Provide support in the development of appropriate policies and procedures for the firm

  • Provide training to the team of risk and compliance matters

Your Profile

  • A compliance professional with 3-5 years of practical experience, willing to pick up risk elements

  • Experience within a Venture Capital firm, Asset Manager or Consultancy firm preferred

  • Experience in core compliance processes: Conflicts of Interest, Information barriers, KYC, AML and ABC

  • An understanding of ABC and AML compliance programmes for private investments

  • Track record in implementing data protection programs across different jurisdictions

  • Understanding of operational risk desirable, though not essential

  • A self-starter able to juggle multiple priorities

  • Excellent communication skills, both written and verbal

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.