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Compliance Monitoring Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Job ref:

    KRT002

  • Published:

    12 days ago

  • Expiry date:

    2020-08-30

​Our client, a global asset manager, is looking for a Compliance Monitoring Officer to strengthen their Compliance Department. The firm manages the assets of some of the world’s biggest institutions and their respective clients. This presents a fantastic opportunity to work within a firm that embraces investment excellence and a dedication to client service.

As part of a dynamic team of five, you will report into the Head of Compliance Monitoring and you will form a key part of the continual development of a positive compliance culture.

Main Duties/Responsibilities of the Role
  • The Compliance Monitoring Officer will undertake and oversee the daily monitoring of adherence to client investment restrictions, and to maintain the accuracy of investment restriction data.

  • Oversight of errors and breaches including identification, investigation and reporting to relevant stakeholders.

  • Accurately maintaining the PA Dealing and G&E processes.

  • Effectively complete periodic monitoring reviews and monitor shareholdings across client accounts against prescribed thresholds.

  • Guideline coding.

Key Skills & Experience
  • Educated to undergraduate degree level with a relevant professional qualification (IMC or CFA) will be preferred.

  • 3-5 years experience in a similar role within an asset manager is essential.

  • Significant experience in guideline reporting is essential.

  • Exposure to, or experience in writing code will be preferred.

  • Sound knowledge of FCA rules and regulations would be beneficial.

  • A collaborative approach, reliable and a conscientious team player.

Our Commitment to Equality

Rutherford recognises that discrimination and victimisation is unacceptable and that it is in the interests of the Company and its employees to utilise the skills of the total workforce. It is the aim of the Company to ensure that no job applicant receives less favourable facilities or treatment (either directly or indirectly) in recruitment or employment on grounds of age, disability, gender/gender reassignment, marriage/civil partnership, pregnancy/maternity, race, religion or belief, sex, or sexual orientation (the protected characteristics). Our aim is that candidates will be truly representative of all sections of society and each candidate feels respected and able to give of their best. All candidates, whether part-time, full-time or temporary, will be treated fairly and with respect. Selection of candidates will be based on aptitude and ability.

Contact

Tevia Kretzmer is a consultant for Rutherford and specialises in roles within the private credit and private equity space.

Get in touch with Tevia by email at tevia@rutherfordsearch.com or by phone at 020 3778 0852.

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