Junior Compliance Officer – Asset Manager – 15/06/2020


The individual will become a part of a growing, highly skilled legal and compliance team within an alternative asset management firm and will ensure that the firms activities are in strict accordance with regulatory requirements. Daily activities will include, but will not be limited to developing, implementing and maintaining compliance policies and being responsible for the core Compliance Monitoring Programme (CMP); being involved in the full range of regulatory and compliance issues that may arise in an investment management firm regulated by the Financial Conduct Authority (FCA); Company House filings on behalf of the firm; keeping abreast of regulatory developments that may impact the firm; KYC/AML regulatory reporting.



  • Candidates should be adaptable and be able to present an impressive record of academic achievement in a relevant subject such as legal or finance;
  • Exposure working in a regulated environment;
  • Experience and/or understanding of the alternative asset management industry and the FCA regulatory framework is highly beneficial;
  • Ability to work in a fast paced business environment;
  • Excellent communication and writing skills are essential;
  • The ability to be a self starter with strong analytical skills;
  • Clear and concise communicator;


Name: Tevia Kretzmer

Email: tevia@rutherfordsearch.com

Number: 020 3778 0852

Posted: 15/06/2020

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