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Compliance Officer

  • Location:

    New York

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:


  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


Our Client

Our client, a leading private investment firm, is looking for its first compliance hire in the United States. The firm currently manages c. $12 bn of AuM, specifically within real assets.

Main Duties

  • Develop and manage the US compliance program

  • Work closely with the European team and Chief Compliance Officer on new initiatives within compliance

  • Review and approve external marketing and distribution efforts

  • Provide advice to internal and external stakeholders on regulatory/compliance issues

  • Conduct regular reviews on compliance policies and manuals

  • Provide training to the wider business

  • Conduct core compliance monitoring e.g. personal trade monitoring, gifts & entertainment, etc.

Your Profile

  • Previous compliance experience within an alternative investment firm preferred

  • Previous SEC regulation knowledge required, FCA/European knowledge would be beneficial

  • Junior to mid-level seniority

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.

Remote Working

We are currently looking for regionally-located compliance professionals from across the United Kingdom who would be interested in working for London firms on an interim working from home basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.

We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.