Our client, a global asset manager, is currently seeking a Compliance Officer for its New York office. The firm's strategies span across a vast array of classes such as fixed income, equities, alternatives and sustainability.
Reporting into the Head of Legal and Chief Compliance Officer, the successful candidate will provide support with the implementation of the business' compliance program, all whilst ensuring that the firm adheres to compliance requirements.
Key responsibilities for this position will include, but are not limited to:
Providing day to day regulatory advice to the investment teams and wider stakeholders
Reviewing and drafting legal agreements in relation to the compliance program
Spearheading regulatory filings, completion of RFPs and due diligence questionnaire
Reviewing compliance monitoring program duties
Providing assistance with drafting, reviewing and updating compliance manuals and policies
Creating automated monitoring tests as requested alongside the firm’s IT team
Overseeing compliance training for members of staff
Essential for this position: J.D. registration in New York
Knowledge of the Investment Advisers Act of 1940 (essential)
An understanding of ERISA compliance requirements
For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11539
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.