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Compliance Officer (SMF16/17)

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    02078707409

  • Job ref:

    BAJ018

  • Published:

    16 days ago

  • Expiry date:

    2020-12-18

Our Client

A global hedge fund is looking for a Compliance Officer to join its London office. This is a standalone position with the Compliance Officer expected to take SMF 16/17 responsibilities in due course. The firm trade across a range of strategies including long/short equity and macro investing.

Responsibilities

  • Providing oversight to the investment teams and front office staff

  • Further develop the firm’s compliance monitoring program and conduct periodic reviews on the compliance policies.

  • Liaise with the global offices and provide ongoing support to the Global CCO, based in New York.

  • Manage internal processes including conflict checks, restricted lists, personal trading and inducements

  • Work with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading

  • Manage transaction and post trade reporting; best execution; long and short position and takeover panel notifications

  • Monitor the changing regulatory landscape and apply changes to the firm’s compliance framework.

  • Train the business on compliance policies including financial crime policies

  • File regulatory reports with European regulators and the FCA

Requirements

  • Education to graduate level

  • 8 + years of experience within in a compliance focused role, ideally on the buy-side

  • Strong preference for previous SMF 16/17 or CF10/11 experience.

  • Extensive knowledge of regulatory policies and procedures, including MiFID/MiFIR, MAR, EMIR, and the FCA Handbook

  • Proven ability to work autonomously

  • Able to multi-task in a high-pressure environment

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 exciting about bringing our expanded offering into the technology area.

Remote working

We are currently looking for regionally-located compliance specialists 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.