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Compliance Officer

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Tevia Kretzmer

  • Contact email:

  • Contact phone:

    020 7183 0545

  • Job ref:


  • Published:

    12 days ago

  • Expiry date:


​Our Client

Rutherford have been mandated on an excellent opportunity for a Compliance Officer to join our Private Equity client's London office, reporting into the General Counsel.

Main Duties

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

  • Implementing and executing the UK compliance monitoring program

  • Reviewing and approval of all personal trading requests through the firm’s internal compliance system as well as gifts and entertainment

  • Providing accurate regulatory advice to the various lines of business

  • Reviewing and signing off on financial promotions

  • Effectively maintaining the compliance manual, as well as all policies and procedures

  • Timeous preparation and filing of submissions to the regulator

  • Supporting in the design and delivery of compliance training to the wider business.

  • Working on European focused regulatory projects and associated regulatory change projects.

Your Profile

  • Strong academic track record. A degree in law/financial regulation would be advantageous.

  • 3-5+ years experience within a reputable investment manager.

  • Ability to work independently and excel in a high intensity environment

  • Effective verbal and written communication skills.

  • Proven stakeholder management ability.

  • Ability to exercise strong judgement and be able to act autonomously.

For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 7183 0545
Reference Code: 36147

About Rutherford
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.