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Compliance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Interim

  • Contact:

    Alexia Brodie Cooper

  • Contact email:

    alexia@rutherfordsearch.com

  • Contact phone:

    02071830070

  • Job ref:

    ABC008

  • Published:

    about 2 months ago

  • Duration:

    3 months

  • Expiry date:

    2021-03-02

​Our Client

Our client, a leading real estate investment manager, is currently looking for a 3-month Interim Compliance Officer to join their team.

Key Duties

  • Responsible for maintaining ongoing relationship with the FCA, meeting statutory regulatory reporting obligations (principally GABRIEL returns), registration and deregistration of FCA Senior Managers/Approved Persons.

  • Keeping up to date with regulatory developments and their impact on the business, such as the SMR, updating the Directors on their impact and implementing regulatory developments as required.

  • Preparing internal capital adequacy assessment process (“ICAAP”) as required.

  • Responding to regulatory, compliance and AML queries from the business.

  • Oversight of operator mandates.

  • Monitoring systems

  • Responsible for GDPR compliance.


Financial Crime

  • Completing Customer Due Diligence (“CDD”) / Know Your Customer (“KYC”) process for clients, as required.

  • Responsibility for providing ad hoc advice to all areas with regard to AML/KYC/CDD.


Training

  • Coordinating the design, delivery and strategy of regulatory eLearning training, and ensuring that all staff members complete the training.

  • Analysis of compliance training data, feedback and creation of MI reports.


Compliance Monitoring/CMP

  • Completing compliance monitoring programme.

  • Maintaining registers (Breaches/Complaints/Conflicts etc).

  • Maintaining staff registers (gifts and entertainment and personal account dealing, ensuring that all gifts and entertainment and personal account trades are logged appropriately by staff members.

  • Conducting reviews and monitoring of PA Dealing & private investments, Gifts & Entertainment as required.

Your Profile

  • Experienced compliance generalist with previous experience in the asset/investment management industry, working for an FCA regulated firm, preferably an AIFM firm, or in a compliance consulting firm.

  • Some real estate experience would be helpful.

  • Previous Compliance Monitoring and training experience.

  • Previous experience of AML/KYC verification and CDD reviews desirable.

  • Some knowledge of UK regulatory requirements desirable (exposure to FCA Handbook areas such as COBS, MAR, and SYSC).

  • Strong team player with the ability to take instruction and work independently.

  • Strong work ethic and attention to detail and process.


About Rutherford

Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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.