Our client, a global asset management firm, are looking for a Senior Compliance Officer to join its London team. Reporting into the Deputy Head of Compliance, the successful candidate will possess strong knowledge on regulatory issues pertaining to the business, with emphasis on marketing and distribution related activity.
Key responsibilities for this position will include, but are not limited to:
Monitoring regulatory updates and implementing changes relevant to financial promotions
Hands-on role in signing off and coordinating global marketing communications across distribution.
Produce and maintain guidance to ensure firmwide compliant marketing.
Provide business-wide training for producing and distributing marketing materials.
Advise the business from a regulatory standpoint on KIIDs and manage the approval process for these.
3+ years of relevant experience within an investment management company, exposure to Marketing Compliance/Financial Promotions a must
Management experience preferred
Global regulatory exposure a plus
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 7183 0545
Reference Code: 11755
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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.