Our client, a growing real assets investment manager, is looking for a standalone Compliance Officer to provide maternity cover for their Compliance Manager.
This is a 9-month FTC with April 1st as a Start Date.
Ensure compliance with transaction processes throughout deal lifecycle, managing investment checklists and signing delegations.
Manage relationship with fund AIFM, coordinate oversight and service level agreements.
Work closely with the investment teams during transactions, assist with engagement of advisers through review of Engagement Letters and coordination of clients and co-investors, assist with novation of agreements to clients (where applicable), execution of Reliance Letters.
Review fund documentation, investor and service provider agreements as required
Assist in coordinating fund closings, ensuring accurate record keeping
Monitor new investor/client requirements through review of investor documentation, development of investment checklists and procedures as required
Coordinate quarterly fund and General Partner board meetings
Fund Valuation and Investment Committee secretariat manage investment checklists and approval
Manage Delegated Reporting Agreements and monitor EMIR transaction reporting; and
Monitor fund data protection requirements.
Manage adviser and vendor KYC processes.
Monitor the firm’s regulatory responsibilities through the maintenance of an FCA compliant,
Compliance Monitoring Programme (CMP) to efficiently manage the firm’s day to day regulatory
Manage correspondence with the regulator including close links and change in control
notifications, management of quarterly and event driven reports as required;
Work with external consultant to maintain effective processes, quarterly compliance monitoring
and reporting to senior management;
Manage the firm’s preparation for regulatory and legislative changes and implementation of
necessary amendments to policies and procedures;
SMCR compliance – manage documentation and approvals for Senior Managers and Certified
Employees, registration with the FCA;
Quarterly compliance report to the Board, annual MLRO and SYSC reporting;
Data Protection Agreements and data impact assessments, manage data processing agreements
with service providers.
Preferably experience within private markets
Circa 5+ years of experience
Experience as a FCA Approved Person, Certified Employee or Senior Manager preferable
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 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.