Our client, a leading global wealth and asset management firm, is currently looking for a Compliance Monitoring Manager for its London office.
Joining the Compliance Monitoring team of five staff members, the successful candidate will be playing a key part in the continuous development of a positive compliance culture.
Key responsibilities for this position will include, but are not limited to:
Supervising a team of three Compliance Monitoring Officers, training and mentoring them all whilst providing support to the Geneva-based team when needed
Undertaking and overseeing the daily monitoring in line with the firm’s Compliance Monitoring Plan (CMP). This will include trade surveillance monitoring as well as reporting any identified issues
Ensuring adherence to the Code of Ethics and maintaining PA Dealing and G&E processes
Completing thematic and ad hoc monitoring reviews and reporting identified weaknesses
Providing assistance in the response to requests for information by regulatory authorities
Completing client compliance certificates and liaising with key stakeholders to provide advice
Educated to a degree level, relevant professional qualification preferred for this position (IMC or CFA)
5+ years of experience in a compliance function, ideally for an asset manager or financial services firm
Compliance monitoring or audit background preferred, though not essential
Strong knowledge of FCA rules and regulations, as well as knowledge of the financial sector
An up-to-date knowledge of best practices in the compliance and regulatory space
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11352
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.