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Compliance Manager - Investment Manager

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    02078707409

  • Job ref:

    BAJ022

  • Published:

    14 days ago

  • Expiry date:

    2021-01-14

​Our Client

A global $30bn AuM investment manager is looking for a Compliance Manager in London. The role offers the ability to mould into a Head of Compliance (SMF16/17) position in time. The firm invest across both public and private equity, with a global focus.

The position will sit in a team of 7 globally across legal & compliance, reporting directly into the General Counsel.

Key Responsibilities

Main duties include, but are not limited to:

  • Provide regulatory advice to the business and stakeholders

  • FCA filings and "back up" assistance to US CCO for SEC filings

  • Maintenance of Compliance Manual and Policies and Procedures

  • L&C Training Programme design and oversight

  • SMCR process and reviews in collaboration with the People Team

  • Reviewing and processing partner & employee compliance pre-clearance requests

  • Outside Interest and Other Conflict Approvals

  • Maintenance and execution of monitoring programme

  • Approval of marketing materials

  • Working with US CCO to ensure comprehensive technology-based surveillance programme

  • Maintenance of regulatory calendar including diarising internal regulatory requirements as well as external regulatory filings

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.

Remote Working

We are currently looking for regionally-located in-house and private practice lawyers from the following areas who would be interested in working for London firms on an interim WFH basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.

We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.