​Our Client

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.

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Key Duties

• 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

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Your Profile

• 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

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About Rutherford

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.

Remote Working

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.

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We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.

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