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Compliance Officer

  • Location:


  • Sector:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    020 7182 0070

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


​​​Our Client

​A leading alternative investment manager is looking to hire a Compliance Officer into their advisory compliance team. The Compliance Officer will act as the deputy in the team and lead on upcoming regulatory projects in addition to providing real time regulatory advice to the business and investment teams.

Main Duties

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

  • Provision of practical regulatory guidance to all investment and trading teams

  • Provide advice on wall-crossings, market soundings and other matters relating to the treatment of inside information and market abuse

  • Provide expert guidance on ESG-related regulatory matters

  • Manage investment-related conflicts of interest management, including aggregation and allocation; cross trades and affiliate transactions; and fee and expense allocation

  • Support the wider compliance function in important business projects and business change

  • Provide compliance training to the wider business stakeholders

Your Profile

  • 3 – 6+ years’ experience in Compliance, preferably with a focus on investment compliance.

  • Ideally strong asset management experience

  • Experience with ESG-related regulation and related matters favourable.

  • Excellent written and verbal communication skills, including with senior management.

For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7182 0070
Reference Code: 11548

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 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.