Our client, a European private bank that specialises in asset and wealth management, is currently looking to hire a Compliance Officer to join their Legal and Compliance team.
The role will be based in London, UK and will report into the Head of Compliance.
The successful candidate will be covering a vast range of compliance matters to ensure that the business remains compliant with applicable regulations.
Duties will include, but are not limited to:
Play an active part in building, conducting and maintaining and annual CMP (Compliance Monitoring Plan)
Be aware of any regulation, evaluation its impact on the firm and provide advice on how to initiate changes
Provide compliance training to members of staff in order to strengthen the compliance culture
Spearhead the operational effectiveness of the business' systems and controls
Assist the Head of Compliance in the delivery of reports to the Board
Take part in business meetings with key internal stakeholders and represent the Compliance function's views
Educated to a Degree level
Experience in Investment Management or Portfolio Management Compliance. Distribution Compliance experience is desirable, though not essential
A solid understanding of the FCA rulebook, in particular COBS and Money Laundering best practices and regulations
Exposure and knowledge of coding and/or monitoring in Bloomberg AIM is desirable though not essential
Fluency in French desirable too
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11231
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.