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Senior Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    0207 870 7409

  • Job ref:

    BAJ11169_2

  • Published:

    4 days ago

  • Expiry date:

    2021-06-03

​Our Client

Our client, a multi-strategy hedge fund, is looking to hire a Senior Compliance Officer for its New York office. The successful candidate will be joining a well-established compliance function.

Responsibilities

  • Research vendor review

  • Handle wall crosses and management of restricted list

  • Rule 105 reviews

  • MNPI review and trading analysis

  • Compliance Annual review

  • Review and update Compliance Manual

  • Assist the Compliance Department with ongoing regulatory requirements

  • Assist with enforcing compliance policies

  • Assist with Compliance Trainings

  • Assist with year-end training for front office

  • Assist with Chaperone of expert network calls

  • Assist with electronic communication supervision

  • Escalate matters to the Director of Compliance and the GC/CCO as necessary

Requirements

  • Bachelor's Degree required

  • Strong organisational and research skills

  • Ability to juggle multiple tasks when necessary

  • Ability to work independently and excel in a high intensity environment

  • High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies

  • Strong written and verbal communication skills

  • Outstanding attention to detail

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.