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Compliance Manager - Investment Manager

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:


  • Job ref:


  • Published:

    11 days ago

  • Expiry date:


​Our Client

Our client, an investment manager with a focus on long-term investing and sustainable businesses, is currently looking for an experienced Compliance Manager to join its Legal and Compliance team in London, UK.

The successful candidate will be part of a close-knit team of four members, based across the globe.

Key Duties

  • Provide regulatory advice and guidance to the front office and wider business

  • Maintain and develop the Compliance Manual as well as policies and procedures

  • FCA filings and support to US-based CCO for SEC filings

  • Design and oversee L&C training

  • Process and reviews of SMCR

  • Review and process compliance pre-clearance requests

  • Outside interest and other conflict approvals

  • Maintain and execute monitoring programme

  • Review and approve marketing materials

  • Maintain the regulatory calendar

Skills and Experience

  • Strong oral and written communication skills

  • Strong conviction while having a pragmatic approach

  • Commitment to sustainability

  • Experience in interacting with the FCA and SEC

  • Direct experience of implementation of RegTech solutions

  • Project management skillset

  • Deep knowledge in the asset management regulatory landscape and professional best practice standards

  • Strong collaboration skills

  • Proactive and strategic

  • Can work well independently but has a strong sense of collaboration

  • Self-driven individual

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 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.