Our client, a leading alternative investment and advisory group with a global presence, is currently looking for a Compliance Officer based in London, UK to report into the Chief Compliance Officer.
The role will be an integral part of the operations team, involved in all regulatory and compliance matters and working closely with the Chief Compliance Officer.
As an experienced Compliance Officer, your responsibility will be to support the Chief Compliance Officer on all regulatory and compliance matters for the business.
You will be managing the service providers and team members to provide regulatory, advisory and training support in respect to all aspects of the Firm’s global compliance requirements. The team utilises service providers in each jurisdiction.
You will work closely with the management team and independent Chair of the Compliance Committee and the key responsibilities may include:
Assist the Chief Compliance Officer with the day-to-day compliance coverage of the Firm’s global compliance requirements including regulatory reporting and the compliance monitoring programme;
Managing business queries relating to reviews of non-binding legal documents, marketing materials and regulatory or policy matters;
Responsibility for the management of the service providers and their deliverables;
Involved in compliance at key governance and risk topics, including reporting to the Executive Management Board and project / business initiative working groups;
Taking part in investor due diligence presentations and meetings covering compliance and governance;
Responsible for key initiatives, projects and day-to-day matters, as required;
Participating in strategic and/or regulatory projects, process improvements, policy writing and driving the compliance agenda;
Keeping up to date with regulatory matters and analysing the impact on the Firm and other legal entities and implementing key changes; and
Conducting compliance related risk assessments
The ideal candidate would have the following:
A university degree in a relevant field;
5+years’ relevant experience gained working in the financial sector within a Compliance function ideally in an asset management firm;
Strong experience in developing and maintaining a compliance framework and policy writing for multiple jurisdictions, strong and up to date technical abilities, experience in providing training, ability to review legal documents and marketing and external materials;
Extensive experience in regulatory reporting, distribution rules and regulatory and compliance requirements in multiple jurisdictions, including regulatory applications. The Firm operates across the UK, EU, US and Australia and experience in these jurisdictions would be ideal; and
The successful candidate must be able to apply this knowledge practically and pragmatically with an understanding of the commercial environment.
In-depth knowledge of financial products and relevant regulations and compliance requirements is required, ideally including investment and key operational processes and the comprehension of the need to balance commercial and regulatory risk.
Must be an excellent communicator and comfortable working as part of a team within a dynamic, global business;
The ability to engage multiple stakeholders at all levels will be important. The candidate must be able to establish themselves as a “trusted advisor” through building and maintaining effective working relationships with colleagues;
A high standard of written and spoken English is essential and knowledge of any other languages would be helpful;
Proactive, organised and able to prioritise and meet deadlines;
Readiness to learn and build new skills, with a flexible ‘can do’ approach;
Strong sense of business acumen and aptitude for commercial reasoning;
Diligent, systematic, professional with natural attention to detail;
Strong capacity to work independently to progress tasks from start to finish; and
Must have an entrepreneurial attitude, with the ability to think critically, ask the important questions and confidently suggest improvements.
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.
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.