Our client, an investment manager with a focus on long-term investing and sustainable businesses, is currently looking for an experienced Director of Compliance to join its Legal and Compliance team in London, UK.
The successful candidate will be part of a close-knit team of four members, based across the globe.
Key responsibilities for this position will include, but are not limited to:
Providing regulatory advice and guidance to the front office and wider business
Maintain and develop the Complliance Manual as well as policies and procedures
FCA filings and support to US-based CCO for SEC filings
Design and oversee L&C training
Process and reviews of SMCR
Review and process compliance pre-clearance requests
Outside interest and other conflict approvals
Maintain and execute monitoring programme
Review and approve marketing materials
Maintain the regulatory calendar
A commitment to sustainability
Previous experience in interacting with the FCA and SEC
Direct experience of implementation of RegTech solutions
Deep knowledge in the asset management regulatory landscape and professional best practice standards
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11522
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.