Our client, a UK headquartered Private Equity firm with circa £5bn AUM, is looking for a SMF16/17 to join its London office. The firm operates in mid-market private equity as well as credit and the role will be working closely with the senior management team in developing a leading Compliance function across the Group.
Primary responsibility for Compliance matters across the group
SMF 16 and SMF 17 responsibility for relevant group entities
Leading for Compliance on the Group Risk Committee
Oversight and development of the Group’s Compliance Monitoring Programme
Compliance Policy Ownership and Reviews
Supporting SFDR and ESG initiatives
Support for marketing materials review processes and standards
Ownership of Conflicts of Interest register.
Oversight of Core Compliance Processes
Strong educational background with a university degree.
Experience in having held both SMF16/17 would be preferred.
Strong technical ability and commercial awareness.
Ability to challenge independently and proactively.
Effective communicator, both in writing and orally.
Proven track record in managing teams.
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.
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.