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Employee Compliance Analyst

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT11344

  • Published:

    about 1 month ago

  • Expiry date:

    2021-12-02

​Our Client

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.

Main Duties

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

Your Profile

  • 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.
Email: tevia@rutherfordsearch.com
Phone: 020 3778 0852
Reference Code: 11344

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.