Our client, a leading investment management firm, is looking for a Senior Compliance Advisor to join its modern London office. The candidate will be a core member of the Risk and Compliance team, providing compliance advice in regard to business activities and regulatory projects.
Key responsibilities for this position will include, but are not limited to:
Providing regulatory advice and guidance to business areas
Supporting and delivering compliance training to members of staff
Providing support with the Compliance system
Providing support with the planning of monitoring reviews
Coordinating responses to requests from regulatory bodies
Participating in client due diligence meetings
Supporting the new broker acceptance process and providing compliance input
Supporting overseas offices with their interpretation of local regulatory requirements
Educated to degree level but not essential
Proven Compliance Advisory experience
Good knowledge of front office and dealing operations such as Equities, Fixed Income and derivatives
Knowledge of the MIFID framework
Knowledge of UK and EU rules and familiarity with SEC requirements would be beneficial
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11416
Rutherford is a boutique search firm located in London and New York. 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.