Our client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office. Reporting into the Head of Compliance, the successful candidate will be joining the firm’s compliance team, which oversees multiple jurisdictions (UK, EU and APAC). This is a fantastic opportunity to join an innovative firm and to take on a broad role.
Key responsibilities for this position will include, but are not limited to:
Conducting monitoring reviews in line with the firm’s Compliance Monitoring Programme
Conducting AML and KYX reviews
Spearheading client onboarding
Providing assistance with regulatory reporting
Providing support with the maintenance of local compliance policies and procedures
Assisting with any other ad hoc compliance-related projects and duties as required
A minimum of 5 years of experience in compliance within financial services, preferably for an exchange
Demonstrated experience in managing tests from a CMP as well as its updates
Knowledge and experience of MiFID II and market abuse beneficial
Also beneficial for this position: previous fixed income experience
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 3778 0771
Rutherford is a boutique search firm located in London. Our consultants are 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.