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Junior Compliance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Alexia Brodie Cooper

  • Contact email:

    alexia@rutherfordsearch.com

  • Contact phone:

    0207 183 0070

  • Job ref:

    ABC11258

  • Published:

    21 days ago

  • Expiry date:

    2021-08-07

​Our Client

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.

Main Duties

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

Your Profile

  • 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
Email: alexia@rutherfordsearch.com
Phone: 0207 183 0070

About Rutherford

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.