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Compliance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0135

  • Job ref:

    BAJ11678_1

  • Published:

    over 1 year ago

  • Expiry date:

    2022-12-27

​Our Client

A $80bn AuM alternative investment firm are looking for a specialist Compliance Officer to join their compliance team.

The Compliance Officer will focus on advising and supporting their credit and private credit investment teams. The successful individual will be responsible for ensuring the teams have best-in-class compliance infrastructure, policies and controls implemented. The role requires extensive expertise in working with technology teams and project management experience.

Main Duties

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

  • Manage conflicts of interest and information barriers, enhance controls related to sharing of confidential or material non-public information

  • Review and enhance trading policies and procedures for the US and European compliance programs and enhance the overall controls environment

  • Provide oversight of the daily monitoring and compliance of the Firm’s trading activities as required

  • Advise the senior leadership team and US compliance team on upcoming regulatory and compliance issues that may affect the wider business landscape for the firm.

  • Establish a best-in-class training program for stakeholders across the business including colleagues across the globe

Your Profile

  • 6 -12 years of compliance experience. Ideally with strong experience from a US investment adviser managing credit and private credit products

  • Strong understanding of SEC and FINRA rules, guidance and compliance requirements

  • Proven ability to work under pressure and provide real-time advice to the trading teams and investment desks.

  • JD is strongly preferred but not required

For more information about this position, please get in touch with Jackson Baker.
Email: jackson@rutherfordsearch.com
Phone: +1 332 256 0135
Reference Code: 11678

About Rutherford
Rutherford is a boutique search firm located in London and New York. 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.