Our Client
Our client, a leading private equity firm with c. $70bn in AuM and a decades-long track record of investing in private markets, is currently looking for a Senior Compliance Officer to join its London team.
Key Duties
Ongoing maintenance and updating of compliance policies and procedures
Providing advice and direction to all departments on compliance with the firm's Code of Ethics and other compliance policies and procedures
Providing training to employees on the Firm's compliance policies and procedures and applicable regulatory obligations
Supporting the MLRO in countering the risk that the Firm might be used to further financial crime
Assisting in the development and build out of a robust, comprehensive and risk-based Compliance Monitoring Programme (CMP)
Conducting compliance testing in accordance with the CMP and preparing written reports for senior management and the Board
Identifying areas of control weakness for enhancement and initiating corrective action for the avoidance of future breaches
Reviewing and approving marketing materials promoting the Firm, its products and services for compliance with all applicable marketing/advertising rules
Providing advice to Investor Relations and the firm's Investment Professionals on cross-border marketing rules in the EEA and other non-US jurisdictions
Maintaining and updating the firm's Regulatory Reporting Calendar and ensuring the firm complies with its regulatory reporting obligations
Job Requirements
A university degree in a relevant field
3-6 years' relevant experience gained in the financial services sector within a compliance function
Strong experience in developing and maintaining a compliance framework and policy
Knowledge and experience of the UK FCA regulatory requirements. MiFID II, AIFMD, SMCR, GDPR, etc.
Experience in training, ability to review legal documents, marketing, and external materials
Pro-active, energetic and self-assured professional with high personal integrity and the ability to build effective relationships with internal and external stakeholders
Able to work independently or as part of a team, under pressure, with changing priorities
Experience in conducting compliance monitoring and testing and/or performing compliance reviews of marketing materials is highly desirable
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.
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 WFH basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.
We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.
