Rutherford has been mandated with an excellent opportunity for Head of Core Compliance to join a global asset manager in their London office, reporting into the Deputy Head of Compliance. The role will cover the full scope of Monitoring responsibilities. Management experience is essential.
Key responsibilities for this position will include, but are not limited to:
Having control of the management and execution of the Compliance Monitoring Plan, including trade surveillance.
To ensure compliance with the firm’s Code of Ethics as well as performing accurate recording of the PA Dealing and G&E processes.
Completing consistent deep dive thematic monitoring reviews into activities being conducted by the business and reporting any identified weaknesses in an appropriate manner.
Proven ability to advise the wider business on daily compliance-related issues.
Provide Compliance management with clear, relevant, and accurate management information.
Responding to regulatory information requests in a professional and timely manner.
Complete ad hoc compliance reporting to external parties including regulatory authorities.
Coordinate training for current and new joiners
Educated to undergraduate degree level with a relevant professional qualification (IMC or CFA) is preferred.
Proven experience in the management and development of a monitoring team within the investment management industry.
Excellent knowledge of FCA rules and regulations.
Strong written and verbal communication skills
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11674
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.