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Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Ali Hughes

  • Contact email:

    ali@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    HUA11454_7

  • Published:

    28 days ago

  • Expiry date:

    2022-07-07

Our Client

Our client, a leading multi-strategy hedge fund, is looking for a Compliance Officer in their global compliance team. This is a generalist role although there will be a strong focus on providing advisory support to the portfolio managers.

Main Duties

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

  • Be the primary point of contact for all trading related matters and queries coming from the trading teams

  • Manage restricted lists/watch lists and related issues

  • Oversee the firm's core compliance and code of ethics policies

  • Provide guidance and advice to the wider business on upcoming regulatory developments

  • Marketing compliance review and approval

  • Work with the global compliance team to track regulatory projects and advise on the impact of regulatory change to the firm

  • Deliver US compliance training to the wider business

Your Profile

  • 4-7 years of compliance experience, ideally in a hedge fund or asset manager

  • Knowledge of US regulation applicable to investment managers including the Investment Advisors Act

  • Compliance experience covering equities will be highly advantageous

For more information about this position, please get in touch with Ali Hughes.
Email: ali@rutherfordsearch.com
Phone: +1 332 256 0130
Reference Code: 11454

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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.