Our client, a venture capital firm with c. $4bn in AuM is looking for a Compliance Officer to help manage the function. This role will report into the C-suite and have strong exposure to senior management.
Providing advice to senior management on compliance policies and regulation.
Develop and update the compliance monitoring program (to include employee compliance, SMCR, Code of Conduct, Conduct Risk, Financial Crime, Market Abuse, Data Protection, Third Party Risk)
Providing training to employees on the Firm's compliance policies and procedures and applicable regulatory obligations
Oversee and conduct target company due diligence.
Identifying areas of control weakness for enhancement and initiating corrective action for the avoidance of future breaches
Reviewing and approving marketing materials promoting the Firm.
Strong experience in developing and maintaining a compliance framework and policy, preferably within an asset management business.
Knowledge and experience of the UK FCA regulatory requirements. MiFID II, AIFMD, SMCR, GDPR, etc.
Pro-active, energetic and self-assured professional with high personal integrity and the ability to build effective relationships with internal and external stakeholders
Able to work independently or as part of a team, under pressure, with changing priorities
Junior to mid-level role.
Due to the high volume of applications, if you haven’t heard back from the Rutherford team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.
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.
We are currently looking for regionally-located compliance specialists 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.