Our client, a leading global private equity fund with circa $50bn in AuM, is currently looking for a Senior Compliance Officer for its Silicon Valley-based office in San Francisco, California.
Key responsibilities will include, but are not limited to:
Providing advice to the firm's leadership team on compliance policies, overall regulatory strategies and how they can be implemented
Advising the business' portfolio managers and teams on compliance matters
Leading the implementation of the Code of Ethics
Spearheading the preparation and escalation of employee violation data
Working alongside the firm's finance team in ensuring compliance with fees and expenses policies
Providing advice in the design and implementation of training sessions for members of staff
Spearheading special projects
Continuously supporting the US Chief Compliance Officer in management-related matters, whilst providing general compliance guidance to the function
A solid understanding of compliance and regulatory matters for SEC-regulated investment firm
BA, JD is beneficial, though not essential
Strong track record in operating an in-house compliance role, driving compliance programmes and initiatives
Sound understanding of investment management compliance
For more information about this position, please get in touch with Jackson Baker.
Phone: 0207 870 7409
Reference code: 11256
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.