Our client, a rapidly-growing fintech based in the United States, London and in Europe is currently seeking a Compliance Officer for its US office. The successful candidate will be based either in Seattle or Boston.
Working alongside the UK Head of Compliance and the firm's Compliance Advisory Consultants, the Compliance Officer will support the firm by taking the lead on all US compliance activities and own the function.
Tackling a broad scope, the successful candidate will be asked to design, develop and implement compliance processes for the firm as well as manage all daily compliance activities.
Have a Series 24 and 7 licenses. Series 3 license also desirable, though not essential
A minimum of 2 years of experience as a senior compliance professional, more specifically for a broker-dealer, CPO or investment manager
A minimum of 3 years of experience with FINRA and NFA compliance
A minimum of 5 years of experience in drafting and reviewing relevant compliance and legal documents
A demonstrable expertise of US Securities (SEC) and commodities (CFTC) rules and regulations
Solid track record in risk assessment and mitigation
If you wish to know more about the role, please get in touch with Georgina Housden.
Phone: 020 3778 0846
Reference Code: 11218
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.