Our client, and independent organisation facing the education sector and headquartered in Cheltenham, is looking for an Ethics and Compliance Manager to develop and direct an effective compliance programme in order to protect the firm's reputation and values.
Working with the firm's Executive and Senior Management Group, demonstrate and communicate the firm's commitment to its policies and processes through an effective communications plan so that an appropriate ethics and compliance culture is developed and embedded across the business.
Develop and maintain compliance processes and procedures as appropriate to minimise risks, ensure adequate reporting systems are in place and ensure regulatory compliance across the business which shall include but not be limited to Financial Conduct Authority regulated activities, UK Bribery Act, modern slavery, and health and safety.
Provide advice and guidance to staff regarding ethics and compliance related matters.
Establish and maintain an effective ethics and compliance training programme for staff.
Implement, review and continually improve procedures to ensure that all new third parties are subject to appropriate onboarding assessment and due diligence.
Develop and establish practical procedures and recommendations for corrective action to be taken by the business in order to adequately mitigate compliance risks.
Prepare for regulatory change by identifying potential effects and support the business in the development and implementation of compliant solutions.
Implement, review, and continually improve a monitor and review programme to ensure the continuing effective implementation of the ethics and compliance programme.
Ensure that appropriate documentation is retained to demonstrate an effective ethics and compliance programme
Skills, qualifications and experience
Educated to degree level (or equivalent).
It is essential that you have previous experience in financial services within a compliance or risk position.
A deep understanding and working knowledge in a commercial environment.
You must have demonstrable experience of providing guidance and input to the businesses on best practices and standards to ensure compliance to, including but not limited to, anti-bribery and corruption, modern slavery and health and safety.
Good working knowledge of financial products and services.
The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of regulatory provisions.
Proven ability to identify, analyse and control any regulatory issues and to propose practical and sustainable solutions, escalating matters where appropriate to management level or team.
Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management.
Drive, energy, and a good team player who is also able to work independently.
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.
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.