Our client, a well-established hedge fund with offices in London and New York, is looking for an Interim Compliance Manager to join its London office. The role will be reporting directly into the Head of Compliance and will cover all areas of compliance.
Duties and Responsibilities
Performing elements of the Compliance Monitoring Programme, which includes the monitoring of operations, trading and best execution.
Maintaining PA dealing records, G&E, error logs, etc.
Shareholding disclosures, both long and short.
Preparation of approved persons forms, and update of approved persons records accordingly.
Completion of daily tests, including restrictions and exposures monitoring and restricted list monitoring.
Assisting the Head of Compliance in the preparation of regulatory reports to the FCA, SEC and MAS.
Preparation and maintenance of the firm's compliance procedures.
The candidate should be educated to degree level and professional qualifications would be beneficial.
Strong attention to detail, proactive and very good analytical skills are essential.
The successful candidate should have at least 5 years' compliance experience within UK financial services, preferably within a hedge fund or asset management.
The candidate should ideally have exposure to Advise software's AIFMD e-filing tool.
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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 bans 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 excited about bringing our expanded offering into the technology area.
We are currently looking for regionally-located Compliance professionals 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,