Our client, an asset manager with c. $5bn AuM that focuses on infrastructure projects within the United Kingdom, is now looking for a Compliance Manager to supervise compliance matters for the firm.
This is an exciting opportunity for any compliance professional looking to join a growing and dynamic team located at the heart of London while they are embarking on an ambitious growth journey. The successful candidate will report into the firm's Compliance Officer.
As Compliance Manager, you will be supporting the Compliance Officer with the compliance framework and the firm's monitoring programme. Duties will include:
Spearhead KYC checks on potential investors and other parties;
Look into KYC requests from vendors and lenders;
Take on reviews and monitoring activity, and prepare reports for the Compliance Officer;
Keep track of all emerging regulatory developments and advise the Compliance Officer of all changes and new requirements;
Continue and develop the firm's Compliance Manual to meet the evolving needs of the company;
Conduct internal training to staff on their regulatory duties;
Provide advice to staff on regulatory requirements;
Maintain the firm's Code of Ethics-related conflicts of interest;
Maintain a register of all financial promotions for compliance.
Experience within the compliance function of a financial services firm and/or a compliance consultancy
AML and KYC checks experience desired, though not essential
Capability to implement solutions that meet regulatory requirements
Excellent knowledge of FCA Handbook, AIFMD and other relevant regulations
Experience with risk assessments, conflicts, ICAAPS desirable
Track record of monitoring and developing compliance monitoring programmes
Experience in the infrastructure industry desirable, though not essential
Sound oral and written communication skills
Entrepreneurial mind with a desire to help the business flourish and grow even more
Excelled at a top university
At least 3 years of compliance experience in the United Kingdom
A strong attention to detail
A capability to analyse complex issues
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 of 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 professionals from the following areas who would be interested in working for London firms on an interim WFH 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.