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.
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.
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
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.
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.