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Head of Compliance

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    02078707409

  • Job ref:

    BAJ026

  • Published:

    about 1 month ago

  • Expiry date:

    2021-01-24

​Our Client

A systematic hedge fund is looking for a Head of Compliance (SMF16/17) to join its London office. This is a standalone position with the compliance officer expected to take SMF16/17 functions in due course. The firm has a macro investing focus with c. $4bn AuM.

Responsibilities

  • Provide oversight and advice to the investment teams and front office staff

  • Create and develop the compliance monitoring program and conduct periodic reviews on the compliance policies

  • Manage internal processes including conflict checks, restricted lists, personal trading and inducements

  • Work with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading

  • Monitoring the changing regulatory landscape and apply changes to the firm's compliance framework

  • Train the business on compliance policies including financial crime policies

  • File regulatory reports with European regulators and the FCA

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.

Remote Working

We are currently looking for regionally-located compliance professionals from the following areas who would be interested in working for London firms on an interim WFH basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.

We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.