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Compliance/Legal Assistant

  • Location:

    City of London

  • Sector:

    Compliance, In-house Legal

  • Job type:

    Permanent

  • Contact:

    Emma Karslake

  • Contact email:

    emma@rutherfordsearch.com

  • Contact phone:

    02037780309

  • Job ref:

    EKA010

  • Published:

    about 1 month ago

  • Expiry date:

    2021-04-04

​Our Client

Our client, a global asset manager, is currently looking for a Compliance/Legal Assistant to join their London team.

Key Duties

  • Managing registrations and renewal of funds primarily in Europe (including UCITS and AIFMD passporting)

  • Supporting Board and Committee governance matters for subsidiaries in Europe including scheduling meetings, assisting in the production of meeting materials, and drafting meeting minutes as needed

  • Assisting the Director, Risk & Compliance with the review of contracts including outsourcing agreements, services agreements, clients agreements

  • Helping the Firm's Client Relations team to understand marketing requirements for the Firm's funds and investment services for regions outside of the US

  • Working with the Director Risk & Compliance to assess the impact of regulations applicable to the Firm's UK and EU offices

  • Reviewing offer documents, marketing and other materials

  • Coordinating powers-of-attorney (including notarisations) and translation services

  • Reviewing compliance and risk policies and procedures

  • Assisting in the preparation and review of regulatory filings

  • Assisting with Know-Your-Customer (KYC) requests from banks and other institutions with which the Firm does business

  • To generally assist with other legal and compliance matters and projects as may be needed


Your Profile

  • 3-5 years of experience working in the investment management industry

  • Knowledge of EU fund marketing and registration requirements highly regarded

  • Working knowledge of MiFID II

  • Degree qualified in a relevant discipline

  • Careful and consistent attention to detail

  • Ability to interact comfortably and professionally with people at all levels of the organisation and external service providers

  • A strong work ethic with the ability to work well under pressure while maintaining a high level of quality

  • Ability to successfully manage a large number of competing needs

  • Team-player attitude

  • Willingness and ability to have a flexible work schedule as needed to deal with urgent tasks

  • Ability to work independently, manage and take ownership of projects, analyse situations and identify potential solutions with the willingness to assist in whatever is needed to complete the task

  • Strong familiarity with Microsoft Word, document management and version comparisons (redlines)

  • General understanding of the financial services and fund industry highly preferred

  • Ability to handle confidential information in a professional manner

  • Strong interpersonal, communication and organisational skills

  • Must possess unquestionable integrity and ethics

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 and Legal 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.