Our client, a leading global hedge fund, is looking for an Employee Compliance Analyst to join its London-based office. This role presents a fantastic opportunity to gain exposure and experience in a market-leading firm and the ideal candidate will have solid interpersonal skills and be willing to develop their career within a growing Compliance team.
Key responsibilities for this position will include, but are not limited to:
Reviewing and approving all personal trading requests
Managing and reviewing all employee disclosures of brokerage accounts
Coordinating and tracking quarterly compliance certifications and reviewing responses
Maintaining internal controls
Preparing and completing regulatory filings as it pertains to PA dealing
Monitoring around PA dealing
Managing personal trading inquiries and preparing reports
Manging any other ad hoc Compliance projects as requested
2-3 years of experience in Compliance, ideally in the financial services sector
Educated to degree level
Previous StarCompliance experience is beneficial, though not essential for this position
Previous experience in handling Code of Ethics and Personal Trading requests
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11344
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.