Our Client, a top tier hedge fund, seeks a markets trading floor advisory Compliance Officer to join their London Office.
Reporting directly into the Chief Compliance Officer your role will be varied and have significant exposure to senior management as well as strategic decision-making.
Key responsibilities for this position will include, but are not limited to:
Advise the fund managers and trader on regulation.
Build relationships across front office and senior management.
Run and enhance the compliance monitoring program including trade monitoring and surveillance, trade and transaction reporting and research vetting
Review of trade errors, market abuse related matters and market soundings
Carry out counterparty onboarding and periodic reviews
Conduct gap analysis and compliance desk reviews as well as annual compliance reviews
Assist with monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required
Assist with educating investment and non-investment staff on compliance related matters and enforcing compliance policies
Trading-floor Advisory compliance experience from a UK/US or European investment bank.
Exposure to/understanding of different types of instruments and asset classes (equities/FICC).
The ability to work closely with other departments including investment staff, operations, accounting and marketing
Ability to work and excel in a high intensity environment
Strong written and verbal communication skills
Outstanding attention to detail and strong organisational skills
For more information about this position, please get in touch with Jonathan Skerrett.
Phone: 020 3778 0891
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and 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.