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Compliance Monitoring Manager

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Tevia Kretzmer

  • Contact email:

  • Contact phone:

    020 3778 0852

  • Job ref:


  • Published:

    16 days ago

  • Expiry date:


​Our Client

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.

Main Duties

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

Your Profile

  • 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

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.