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Compliance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT11229_2

  • Published:

    about 1 month ago

  • Expiry date:

    2021-07-21

​​Our Client

Our client, a global hedge fund, is looking for a Compliance officer based in London to provide wide-ranging support to the senior compliance leadership tam, with a particular focus on central compliance initiatives.

The role will report into the Head of Operations Compliance.

Key Duties

  • Ensuring that the CMP accurately reflects and tests for the compliance risks

  • Ensuring that staff comply with relevant Compliance Policies and Procedures

  • PA Dealing approval and monitoring

  • Gifts approval and monitoring

  • Conducting Best Execution monitoring on a regular basis, including interaction with investment personnel to resolve any execution issues identified

  • Identification and monitoring of other conflicts of interest

  • Responsibility for maintaining compliance files in accordance with the UK/EU regulations, maintaining all requisite registers

  • Carrying out CDD/KYC checks for new funds and counterparties, where applicable

  • Market Soundings - treatment of inside information and the maintenance of the Restricted List

  • Be familiar with and assist with market conduct monitoring

  • Undertake bespoke project work to enhance the Compliance Monitoring Programme

Key Skills and Experience

  • Educated to degree level or equivalent in a relevant subject such as Legal

  • Background and understanding of the asset management industry would be beneficial

  • Experience in analytical report writing and production of management information

  • Exposure working in a regulated environment

  • A focused, proactive, goal-orientated team member

  • Self-starter with strong analytical and problem-solving skills

  • Clear and concise communicator

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 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 the following areas 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.