This role primarily provides compliance advice to the investment engines of one of the Leaders of the Global Private Equity Fund, as well as providing support to the wider Investment Management Compliance team. Acting as a second line of to challenge and support the business lines, in accordance with UK/EU regulatory requirements and the Firm’s internal policies and procedures.
Key responsibilities for this position will include, but are not limited to:
Provide compliance advice and guidance to first line investment teams within the Private Equity Firm.
Assist with the delivery of the Compliance Monitoring Programme (CMP) and periodic updates as necessary.
Support the Investment Compliance team with US regulatory filings
Assist management with the development and delivery of topic-based compliance training.
Work with the Investment Compliance Advisory team, maintaining awareness of current business practices.
Collaborate with members of the wider Compliance team on key Compliance projects.
University degree or equivalent.
Minimum of 3-5 years of relevant compliance experience.
Enthusiastic, positive, and proactive team player
Demonstrates strong communication and organisational skills.
Knowledge of FCA rules and EU regulations: AIFMD, MiFID II, EMIR, and MAR.
Understanding of SEC regulatory requirements (including FCA and SEC regulatory filings: Form ADV, Form PF).
Good understanding of financial products and global regulation relating to financial services.
Interest in and prior knowledge of private market vehicles an advantage.
For more information about this position, please get in touch with Oisin O'Regan Doherty.
Phone: 020 3778 0309
Reference Code: 11680
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and 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.