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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:

    BAJ11234

  • Published:

    10 days ago

  • Expiry date:

    2021-07-03

​Our Client

Our client, an alternative investment manager which focuses on global macro strategies, is looking for a Senior Compliance Officer for its New York City office. The firm operates both in the UK and the US.

The successful candidate will work closely with the UK's Compliance function, whilst being part of the US Compliance and Legal team. The position reports into the US Senior Legal Counsel and the Chief Compliance Officer.

Main Duties

As Senior Compliance Officer, you will be responsible of implementing the firm's US compliance programme. Key responsibilities will include, but are not limited to:

  • Provide real-time advisory compliance support to the investment team.

  • Design and implement the US Compliance Programme with the Chief Compliance Officer

  • Develop compliance policies and procedures

  • Track and make all US regulatory submissions and filings

  • Track regulatory changes and developments in the US, identify the impact on the firm's compliance framework, implement appropriate changes

  • Prepare and deliver Compliance training to members of staff

Your Profile

  • A minimum of 7+ years of experience in compliance, preferably in a hedge fund, asset manager or bank

  • Strong experience and working knowledge of US regulation

  • Strong knowledge of financial products

  • Minimum of 3.3. GPA in a relevant academic field from a top university

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.