Our client, an international fixed income investment firm, is currently looking for a Junior Compliance Officer to join its London office. Reporting into the London Head of Compliance, the successful candidate will provide general support and assistance across the Compliance department, spearhead pre and post trade compliance monitoring and assist in the monitoring of regulatory and legal requirements.
Key responsibilities will include, but are not limited to:
Oversee pre-trade activities, reviewing order requests and preparing unresolved issues report for the investment desk
Spearhead post trade monitoring, reviewing accounts to ensure compliance with regulatory requirements
As required, complete compliance certifications for accounts
Continuously ensure that relevant policies are maintained
Provide assistance in special projects as required
Ensure compliance with all necessary regulatory requirements
1-2 years’ experience for an asset manager, ideally within the compliance department and working
Educated to a degree level
Knowledge of compliance matters such as fixed income, derivatives, UCITS
Proficiency in computer systems as well as software programs
For more information about this position, please get in touch with Alexia Brodie Cooper
Phone: 0207 183 0070
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.