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Senior Principal Compliance Consultant

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT11309_3

  • Published:

    19 days ago

  • Expiry date:

    2021-12-15

​Our Client

Our client is a leading consultancy who specialises in advising predominantly buy-side firms (hedge funds, asset managers, private equity firms, etc.). They are undergoing a huge surge of growth having made various hires over the past couple of months at all levels.

The firm is now looking for a Senior Principal Compliance Consultant based in London, UK. Taking a leading role on complex projects, the successful candidate will be participating in overseeing the delivery of ongoing compliance support relationships, sporadic FCA reviews and significant regulatory projects for the firm's clients.

Main Responsibilities

The appointee will be playing a key role in the maintenance and enhancement of the delivery of products and services, always ensuring high levels of client service and great technical competence across a vast range of compliance areas.

Key duties will include, but are not limited to:

  • Lead and oversee the daily regulatory consulting services provided to clients, all whilst managing and coordinating internal delivery teams

  • Spearhead a vast scope of duties during the reviews of the firm's most complex clients and consolidate the work of colleagues

  • Proactively manage allocated client relationships and projects all whilst monitoring profitability and accounts receivable. Liaising with other departments as necessary in order to properly answer clients' questions

  • Actively manage and support special projects and internal initiatives

  • Be commercially aware and promote, where applicable, the firm's other services to clients when it can benefit them

  • Train, evaluate and supervise junior staff members

  • Lead key internal management level working groups

Your Profile

  • Educated to a degree level

  • 8+ years of experience in the industry or, as an alternative, a minimum of 6 years of experience with a mix of the following:

    • Work experience at the FCA (Financial Conduct Authority)

    • Compliance Analyst experience with a consulting organisation

  • Sound knowledge of the Financial Services and Markets Act 2000, Markets in Financial Instruments Directives, Alternative Investment Fund Managers Directives and related FCA rules and guidance

  • Track record in managing complex regulatory change projects for significant financial services firms

  • Management experience

  • Also desirable: an Investment Management certificate, CISI diploma in Investment Compliance or similar

For more information about this position, please get in touch with Tevia Kretzmer.
Email: tevia@rutherfordsearch.com
Phone: 020 3778 0852
Reference Code: 11309

About Rutherford

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.