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Compliance Officer

  • Location:

    San Francisco

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Ali Hughes

  • Contact email:

    ali@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    HUA11634

  • Published:

    26 days ago

  • Expiry date:

    2022-10-01

​Our Client

Our client, a fast-growing multi-strategy hedge fund with c. $5bn AuM is looking to hire an additional Compliance Officer in San Francisco, California. This position has opened up due to the fast expansion of the US investment business.

The successful candidate will be supporting a Deputy COO based in the United States and work closely with the global compliance and legal team. The role will be generalist in nature and offer exposure to all aspects of compliance.

Main Duties

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

  • Advising on market soundings, wall crossings, conflicts of interest, expert networks

  • Reviewing, designing and implementing compliance policies for the US investment adviser

  • Providing guidance and advice to the wider business on upcoming regulatory developments. Tracking and making all US Regulatory submissions and filings.

  • Advising trading and investment teams on ad hoc regulatory matters where necessary

  • Managing trade surveillance alerts and escalating where necessary

  • Providing compliance training to the wider business and stakeholders

Your Profile

  • 3 - 5+ years of legal and/or compliance experience, ideally within a registered investment adviser

  • Strong understanding of the US regulatory landscape for investment advisers, including SEC rules, guidance and compliance requirements

  • Proven ability to work well in a fast-paced environment and be autonomous

For more information about this position, please get in touch with Ali Hughes.
Email: ali@rutherfordsearch.com
Phone: +1 332 256 0130
Reference Code: 11634

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.