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Compliance Officer - UK

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    020 7870 7409

  • Job ref:


  • Published:

    over 1 year ago

  • Expiry date:


​Our Client

Our client, a global alternative investment management firm, is currently seeking a Compliance Officer based in London, UK.

The successful candidate will be managing the business' UK compliance program and ensuring compliance with relevant regulatory regimes.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Providing assistance with the implementation of policies, procedures and monitoring requirements associated with relevant regulatory changes

  • Spearheading compliance oversight of the firm's activities across EMEA, which will include assisting with the maintenance of compliance manuals, procedures and policies as needed

  • Providing trading advice in real-time for all business units whilst assessing the compliance/regulatory risk of the firm's trading processes

  • Providing assistance in the implementation of appropriate governance procedures and documentation

  • Supporting the firm's US team with compliance testing and monitoring activities

  • Interpreting regulatory changes and analysing their impact on the firm for a compliance risk perspective

  • Conducting compliance training to the firm's UK members of staff

  • Performing other ad hoc compliance duties as required

Your Profile

  • Between 5-10years of experience in managing a global compliance programe. Fund experience would be preferred for this position

  • Educated to a degree level, preferably in law

  • Previous experience working in a compliance function

  • Strong knowledge and understanding of UK and EMEA regulations

  • Knowledge of the derivatives markets and familiarity with complex financial products is beneficial, though not essential for this position

For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11328

About Rutherford
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.