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Compliance Monitoring Executive

  • Location:


  • Sector:


  • Contact:

    Oisin O'Regan Doherty

  • Contact email:

  • Contact phone:

    020 3778 0309

  • Job ref:


  • Published:

    over 1 year ago

  • Expiry date:


​Our Client

Our client, a leading regulatory platform based in the UK and Europe which manages 20bn+ in assets, is currently looking for a Compliance Monitoring Executive to join its London office.

The purpose of the role will be to oversee a vast range of clients, from investment management firms to appointed representatives. The successful candidate will provide compliance advice and complete the compliance monitoring programs for its clients.

This is a great opportunity to gain exposure to a range of investment strategies and regulated activity types. Flexible working is also on offer for this position.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Overseeing the onboarding process of allocated clients, mostly dealing with compliance-related queries

  • Overseeing regulatory due diligence on clients, funds, individuals and corporates

  • Advising and assisting in the development of compliance policies and procedures custom to each allocated client

  • Designing the compliance monitoring programs based on client due diligence

  • Advising allocated clients on all compliance matters in relation to their business

  • Carrying out regular on-site client monitoring visits

  • Producing regular client monitoring reports

  • Assisting the firm’s CCO with ongoing regulatory matters affecting the business and its clients

Your Profile

  • Previous experience working in-house for a FCA regulated firm or in a compliance consulting role

  • Experience in the relevant regulatory environments (such as AIFMD, MiFID, CFTC/NFA, etc.)

  • Solid track record in managing multiple client interactions, as needed

​For more information about this position, please get in touch with Oisin O'Regan Doherty.
Phone: 020 3778 0309
Reference Code: 11714

About Rutherford
Rutherford is a boutique search firm located in London and New York. 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.