Our client, a leading London-based asset management firm, is looking for an experienced Risk and Compliance Advisory Director to join the Senior Risk Management team.
Provide advice/input to business activities and regulatory projects across the firm, ensuring that full consideration is given to new and existing regulatory rules and the Group's risk appetite, as appropriate, ensuring that all relevant risk and compliance considerations are taken into account
Support the Compliance Monitoring team in the planning of their monitoring reviews to ensure that their monitoring programmes take into account areas of perceived risk and/or potential regulatory weaknesses.
Provide Compliance support to the firm's processes to manage and control broker wall crossing events, ensuring that full records are retained of such events
Provide Compliance input and general support to the Legal department in the review of new institutional client mandates and IMAs, focusing particularly on adherence to FCA rules
Proven Compliance Advisory experience, ideally gained within the Asset Management industry.
Good knowledge of Front Office and Dealing operations (i.e. Equities, Fixed income and Derivatives).
Good knowledge of the MIFID framework.
Knowledge of UK and EU rules and familiarity with SEC requirements would be beneficial, but not essential.
Proven experience of leading and managing teams; ability to engage, motivate and develop employees.
Experience of identifying areas for development, efficiency or improvement and implementing these changes successfully. A proactive nature and pragmatic work ethic.
Educated to degree level or equivalent industry experience.
Professional qualifications desirable.
7yrs+ relevant industry experience on the Buy-Side (Asset Management, Hedge Funds) preferred.
For more information about this position, please get in touch with Jackson Baker.
Phone: 0207 870 7409
Reference Code: 11295
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.