Our client, a leading investment firm, is looking for a Senior Associate (Compliance). The firm advises across the broad asset class spectrum, including well-known strategies such as hedge funds, private equity and real estate.
The role will include the following:
Provide regulatory and compliance advice across a range of issues including product governance, suitability, financial promotions and relevant regulation.
Track and advise on regulatory developments.
Review, test and develop the Compliance Monitoring Plan (CMP) and provide recommendations to further enhance the plan.
Develop and maintain management information.
Draft and update internal policies and procedures in line with regulatory developments.
Support the firm's compliance with Anti-Money Laundering (AML) requirements.
Implement the firm's compliance training programme.
Any other ad-hoc projects as required.
4+ years of compliance/legal experience within wealth or asset management
Good working knowledge of European and UK regulation
Strong academic record
Proven ability to work independently and multi-task within a fast-paced environment
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.
We are currently looking for regionally-located compliance professionals from across the United Kingdom 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.