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Senior Compliance Officer - Operations & Technology

  • Location:

    City of London

  • Sector:

    Compliance, Cyber Security

  • Job type:

    Permanent

  • Contact:

    Octavian Donnelly

  • Contact email:

    octavian@rutherfordsearch.com

  • Contact phone:

    02037780874

  • Job ref:

    DOO11212_3

  • Published:

    20 days ago

  • Expiry date:

    2021-08-09

​Our Client

On the behalf of a leading Buy-Side Asset Management client, Rutherford is looking to speak to experienced Compliance professionals with in-depth regulatory reporting knowledge. This is a senior Technology and operations compliance role. Remote for the near future, based in the City of London thereafter, with options for flexible working arrangements.

The Role

Reporting into the Head of Operations and Technology Compliance, the successful candidate will be responsible for acting as an infrastructure partner and providing compliance oversight of the Client's Operations and Technology Functions.

The Compliance team provides a second line of defence, their role includes providing oversight and guidance on the Client's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the firm to devise and maintain appropriate systems and controls for the Client.

Key Duties

  • Perform required compliance functions in coordination with and under the direction of the Global Head of Operations and Technology Compliance

  • Coverage will include, but are not limited to, advising on post-trade operational matters such as trade booking, affirmation/confirmation, clearing and settlement models, margin requirements, trade, transaction and position reporting, client reporting, client money and Fund regulatory reporting as well as cross infrastructure regulations such as outsourcing, record keeping and voice recording requirements.

  • Identify, analyse, implement and monitor regulatory initiatives relevant to the Client’s Operations and Technology functions.

  • Assist with the drafting, periodic review and updates of Operations and Technology Compliance policies and procedures

  • Provide ongoing advice to Operations and Technology Staff and other personnel as appropriate on regulatory requirements and the Group’s compliance policies and procedures.

  • Assist management with the development and delivery of compliance training

  • Assist with development and execution of the Compliance Monitoring Programme for Operations and Technology (including forensic testing, monitoring and the annual compliance review and report)

  • Assistance with due diligence review of service providers, policies and procedures, resolution of compliance related matters

  • Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise

  • Deputy for the Head of Operations and Technology Compliance at relevant governance, systems and controls forums

Key Competencies

  • Education: University degree or equivalent

  • Background: Investment Management / Investment Banking / Big 4 / Regulatory Consultants

  • Experience: Minimum of 8 years plus experience in a Operations Compliance / Trade Transaction Reporting function

  • Regulatory knowledge: Subject matter expertise of trade and transaction reporting regulations (including MiFID II; EMIR and SFTR). Good understanding of financial products and global regulation relating to financial services, specifically those regulations impacting Operations and Technology divisions including but not limited to the EMIR; MiFID; SFTR; and FCA SYSC; COBs; CASS; MAR; SUP; COLL and Fund handbooks and regulations relevant to coverage areas above.

  • IT skills: Knowledge and familiarity with outlook, word, excel and in-house systems

  • Soft skills: Ability to operate at all levels within the Firm and wider industry groups. Capacity to clearly communicate regulatory concepts and requirements to a broad audience. Detail orientated and effective research skills. Good influencing skills, experience in working with virtual teams. Self-motivated and organised with the ability to work in a busy environment and manage multiple work threads simultaneously.

For more information about this position, please get in touch with Octavian Donnelly.
Email: octavian@rutherfordsearch.com
Phone: 02037780874

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.