Our client is a leading asset manager who is looking for an individual to assist with administration of the firm's investment compliance efforts, which includes identifying regulatory and legal requirements relating to the coding of investment restrictions and monitoring of institutional portfolios on an ongoing basis to ensure compliance with client guidelines, guideline negotiations and portfolio monitoring. The candidate will report directly into the Head of Investment Guidelines.
Coding investment restrictions rules via Bloomberg AIM.
Support new and existing client guideline negotiations for London managed accounts.
Incorporate new or revised guidelines as notified by the client and ensuring all systems are properly updated.
Identify, investigate and report breaches and errors and implement safeguards to prevent further occurrences.
Complete compliance certifications for accounts as necessary.
Uphold, protect and promote the FCA's and Firm's various policies, procedures, rules, regulations.
Undertake all other duties and responsibilities commensurate with the role and level of this job as may be instructed by a manager.
Compliance system knowledge (Bloomberg AIM).
Ability to communicate portfolio compliance issues clearly and work closely with Client Services Executives, Portfolio Managers, Legal & Compliance management and Investment Support to resolve compliance issues.
Ability to work independently and to manage multiple competing priorities.
Ability to work in a busy work environment.
Self-starter that is also able to work as part of a team, with pro-active attitude towards accomplishing tasks.
Attention to detail.
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. We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.