Our client is a leading financial services group with a specialism in wealth management. They are now looking for a Head of Advisory, reporting into the Head of Compliance to provide compliance advice and training to the business.
Key responsibilities for this position will include, but are not limited to:
Developing new policies and procedures and providing regulatory compliance advice to different business areas, direct reports and line management
Maintaining an up to date compliance manual
Providing advice on how regulatory changes will impact the business and strategy
Ensuring compliance with regulations and best practice
MI reporting and attending governance committees
Delivering training and developing the advisory team
Other general compliance tasks/ ad hoc projects where required
Experienced compliance professional in investment management/wealth management/financial planning
Excellent understanding of relevant regulatory requirements (FCA handbook, LSE rules etc)
Great communication and interpersonal skills, with the ability to influence at all levels
For more information about this position, please get in touch with Georgina Housden.
Phone: 020 3778 1252
Reference Code: 11543
Rutherford is a boutique search firm located in London and New York. 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.