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Compliance Officer

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Ali Hughes

  • Contact email:

  • Contact phone:

    +1 332 256 0130

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


​Our Client

Our client, a global investment manager who operates three private funds and manages almost $13 billion in assets, is seeking a Compliance Officer to join their rapidly growing office in Miami.

The Miami business makes up half of the global company AUM and have plans on expanding upon their headcount of nearly 50 employees, including portfolio managers, compliance managers, and investors.

The successful candidate will be a compliance generalist and will report directly into the Head of Global Monitoring. This person must be a strong cultural fit as they will have interactions across all business departments to properly lead monitoring.

Main Duties

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

  • FINRA guideline monitoring

  • Knowledge of investment advisors 1940 act

  • Knowledge of Code of Ethics items

  • Regulatory filing

  • Support with broker/dealer enquiries

Your Profile

  • 2-5 years’ generalist compliance experience in investment management

  • Strong understanding of the Investment Advisors 1940 act.

  • Buy-side background with expertise in guideline monitoring

  • Additional experience in communications with investment teams

  • Strong understanding of equity strategies & variety of investment vehicles

For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11556

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.