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Junior Compliance Officer

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jack Merriott

  • Contact email:

  • Contact phone:

    020 3778 0309

  • Job ref:


  • Published:

    30 days ago

  • Expiry date:


​Our Client

Our client, a leading global investment firm, is currently looking for a Junior Compliance Officer to join its Compliance team in London, UK.

The purpose of the role will be to own and oversee pre and post trade compliance monitoring, compliance certification preparation and the reporting of client guideline breach. The successful candidate will also assist other senior Compliance Officers in the monitoring of regulatory and legal requirements which can impact the firm’s portfolio. Furthermore, you will be asked to provide ongoing support to the investment team to ensure compliance with the business’ risk parameters.

This role will report into the firm’s Head of Regulatory Affairs and Compliance in London, UK.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Reviewing pre-trade order requests to ensure they comply with guidelines

  • Preparing a daily report of unresolved issues and providing assistance in the resolution of deviations for the investment team

  • Ensuring compliance with all relevant regulatory requirements for the business

  • Ongoing review of account to ensure compliance with client guidelines and any other relevant regulatory requirement

  • Spearheading assigned account guideline amendments

  • Reviewing manually guideline restrictions that cannot be coded to ensure portfolio compliance

  • Completing accounts’ compliance certifications as needed

  • Ensuring that all relevant policies and procedures are being maintained

  • Identifying and implementing improvements of processes

  • Providing assistance in numerous investment client projects

Your Profile

  • 1-2 years of experience in asset management, ideally within the compliance function

  • Ability to work in a fast-paced financial services environment, juggling different and changing priorities

  • Educated to degree level

  • A basic knowledge of fixed income, derivatives and UCITS

  • A desire and ability to gain an understanding with elements in relation to UCITS, AIFs and KVG funds

For more information about this position, please get in touch with Jack Merriott.
Phone: 020 3778 0309
Reference Code: 11258

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.