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Senior Compliance Officer

  • Location:

    San Francisco

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    020 7870 7409

  • Job ref:

    BAJ11256_5

  • Published:

    about 1 month ago

  • Expiry date:

    2021-11-28

Our Client

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.

The Role

Main duties for this role 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

Your Profile

  • 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.
Email: jackson@rutherfordsearch.com
Phone: 020 7870 7409
Reference Code: 11256

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.