Our client is one of the largest wealth managers in the United Kingdom. They are now looking for a Senior Compliance Officer to join their fast-growing business in the Financial Planning Compliance team.
Key responsibilities for this position will include, but are not limited to:
First point of contact between risk and compliance and the financial planning business
Providing compliance advice and oversight
Keeping abreast of regulatory change
Training on policies and procedures
Strong academics, to university degree level
Generalist compliance experience within wealth management/investment management/financial planning
Experience in reviewing financial planning advice
Good knowledge of relevant regulatory requirements e.g. SYSC & COBS
Strong interpersonal and communication skills
For more information about this position, please get in touch with Georgina Housden.
Phone: 020 3778 1252
Reference Code: 11629
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 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.