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Director of Compliance

  • Location:

    New York City

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT051

  • Published:

    15 days ago

  • Expiry date:

    2021-05-06

​Our Client

A leading global private equity fund (c.$100bn+ Aum) is looking for a Director of Compliance to join their London office. The firm are looking for US based Compliance Officers that are interested in relocating to London. Relocation package available.


Responsibilities

  • Develop policies, procedures, systems, and controls governing the firm’s IPO and divestment activities, in compliance with applicable international regulation, comprising the firm’s FCA and SEC obligations, as well as the securities laws of the portfolio company’s listing jurisdiction.

  • Oversight of monitoring and surveillance protocols to ensure ECM’s compliance with applicable FCA and SEC conduct of business rules, including but not limited to e-comm surveillance, recorded lines, transaction record keeping and proxy voting.

  • Execution of regulatory and reputational due diligence for execution counterparties.

  • Oversight of beneficial ownership rules, trade reporting obligations, to include the programming of Calypso.

  • Assist with the design, implementation, and oversight of information barrier processes as they relate to the IPO and divestment workstreams.

  • Design and implementation of MNPI protocols for IPO and divestment activity, on a pre and post trade basis.

  • Perform gatekeeper role for market soundings/wall crossings initiated or received by the ECM team.

Requirements

  • Experience of operating in in-house Compliance roles with US public markets oversight – investment bank trading floor advisory or hedge fund would be most appropriate.

  • Deep understanding of US securities trading laws and regulations, including disclosure of ownership under Section 13 and Section 16 of the Securities Exchange Act of 1934 (“Exchange Act”), short swing profits liability rules under Section 16(b) of the Exchange Act, Rule 144 under the Securities Act of 1933, Rule 10(b)-5 of the Exchange Act, and other federal insider trading laws

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.