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Compliance Officer - Brokerage - Interim

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Job ref:


  • Published:

    2 months ago

  • Expiry date:


​Key responsibilities

Responsibilities include but are not limited to
  • Daily surveillance alert reviews;

  • Development of additional tactical solutions, pending implementation of automated solution;

  • Involvement in various projects, including the development and testing of new surveillance models;

  • Engagement with business and wider compliance team.

  • E-Comms

Specialist skills and experience
  • Demonstrable knowledge of working in surveillance and committed to continuing in this field

  • Good working knowledge of CFDs and underlying markets (equities, FX)

  • A deep understanding of markets and trading;

  • Experience in the development and implementation of system enhancements including the documentation of business requirements;

  • Experience in review of alert scenario effectiveness and threshold calibration;

  • A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;

  • Good working knowledge of the applicable regulatory principles and rules;

  • The candidate must possess intermediate to advanced Microsoft Excel skills.

Competencies and behaviours
  • Analytical

  • Team player

  • Flexible

About Rutherford

Rutherford is a boutique search firm that specialises in legal, financial crime and compliance recruitment within the financial services and legal sector, with London and New York being the main focus. 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, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms and investment banks.

Remote working

We are currently looking for regionally-located Compliance Officers 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.