Our client, a leading UK investment management firm with c. £60bn in AuM, is currently looking for a Corporate Risk and Compliance Officer for its London office. The firm, which has recently experienced growth across the globe with new offices in Europe, Asia and America, specialises in providing investment services to both individual and institutional investors through mutual funds.
This role is part of the Risk and Compliance department, and will report into the firm's Head of Corporate Risk and Compliance Assurance.
The successful candidate will be a core member of the firm's Risk and Compliance Assurance Monitoring team. They will provide general assistance in the development and execution of the Compliance Monitoring Plan, covering a vast range of monitoring reviews and surveillance activity. The appointee will also provide overall support in maintaining the regulatory risk assessment process.
The role's main responsibilities will include, but are not limited to:
Building and performing thematic monitoring reviews
Identifying any non-compliant issues and potential risk areas subsequent to the monitoring being performed
Documenting monitoring work undertaken to then issue report findings to relevant stakeholders
Providing recommendations for the resolution of identified issues
Ongoing monitoring of unresolved issues to then escalate them to the relevant stakeholder
Participating in ad-hoc projects as needed
Updating and scoring of Compliance risk assessments
Identification of breaches and collation of supporting documentation
Educated to degree level
Professional qualifications desirable for this position
Compliance monitoring experience, preferably gained in the asset management sector
Proven track record in building and performing thematic monitoring reviews across a large range of regulatory topics
Sound knowledge of relevant overseas regulatory requirements is desirable, though not essential for this position
If you wish to know more about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11292
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.