Back to job search

Equities Advisory Compliance Officer

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    020 7870 7409

  • Job ref:


  • Published:

    28 days ago

  • Expiry date:


​Our Client

Our client, a leading global investment manager, is looking for an Equities Advisory Compliance Officer to join its Compliance team. The role focuses on providing strategic advice to the front office/trading desks and help on strategic initiatives from the team.

Main Duties

​Key responsibilities for this position will include, but are not limited to:

  • Providing compliance advice for the equity and systematics businesses

  • Liaising with portfolio managers, dealers and other investment staff, to ensure the application of conduct of business requirements and compliance policies

  • Liaising with the trading team on regulatory matters including advising on application of conduct of business requirements and compliance policies

  • Liaising with the trading team on regulatory matters including advising on application of Information Barrier policy and managing restricted lists process

  • Advising and overseeing new business initiatives

  • Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives

  • Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate boards, business stakeholders and business Oversight Committees

  • Providing advice on the anticipation, impact assessment and response to regulatory development

  • Designing and delivering effective regulatory training initiatives to the business

Your Profile

  • 5+ years of compliance experience, preferably from the buy side

  • Experience in dealing with Portfolio Management teams and providing advice with respect to crossing, aggregation/allocation, re-allocation and managing conflicts, etc.

  • The technical ability and mindset to deliver a solutions-driven approach and the judgment to use this in appropriate circumstances High degree of familiarity with the FCA handbook and other European regulatory regimes including but not limited to MiFID II, MAR. Knowledge of EU's ESG related regulations like SFDR would be beneficial

  • Experience in Compliance information gatekeeping process, dealing with Wall crossing requests, market soundings and handling of MNPI would be an added advantage

For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11321

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.