Our client, a leading asset management firm, is looking for an Interim Senior Corporate Compliance Advisory to join on a 12-month fixed term contract.
Provide advice and input to business activities and regulatory projects
Support the team with the operation of the Star Compliance system, used to manage staff conflicts
Support the Compliance team in the planning of their monitoring reviews
Participate in or coordinate, as appropriate, responses to requests from regulators for information involving business areas
Participate in client due diligence visits and meetings to promote the role of Risk and Compliance within the organisation
Provide departmental input into RFPs and other information gathering exercises from potential and existing clients
Provide support to the firm's processes to manage and control broker wall crossing events
Support the new broker acceptance process
Provide input and general support to the Legal department in the review of new institutional client mandates and IMAs
Support new overseas offices with interpretation of local regulatory requirements
Provide local teams with relevant regulatory advice
Maintain working relationships with management of internal business areas and external partners
Undertake any other responsibilities as assigned by the Head of Corporate Risk and Compliance
Strong track record in Compliance Advisory experience, ideally within the Asset Management sector
Knowledge of Front Office and Dealing operations
Understanding of the MIFID framework
Knowledge of UK and EU rules, familiarity with SEC requirements would be beneficial though not essential
Great communication skills
Ability to build strong relationships
Proactive with a strong and pragmatic work ethic
Ability to influence change in business practices
Can work under pressure and against tight deadlines
Can proactively problem solve
Strong analytical skills
Can confidently communicate with senior management, in writing and verbally
Educated to degree level or have equivalent industry experience
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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 working from home 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.