Our client, a leading quant Hedge Fund is looking to hire a Junior Compliance Officer as part of Compliance Team who will report into the Deputy Head of Compliance.
Responsibilities
Responsible for Compliance Policies & Procedures (P&P)/ Compliance Monitoring Programme (CMP):
Understand the existing P&P suite and assist with review and drafting of all necessary updates • Primary owner of the existing monthly/quarterly CMP testing, helping to develop the wider programme so that it adequately tests compliance with P&P
Develop periodic CMP metrics for reporting purposes
Regulatory filings: assist in various regulatory filings on behalf of firm
Assist in the response to regulatory enquiries and examinations
DDQs/RFPs: assist in drafting responses to investor enquiries
Regulatory developments: keep abreast of regulatory developments that may impact the firm
Regulatory training: assist in the creation of and dissemination of training The ideal candidate will have 1-2 years compliance experience from the asset management/hedge fund industry, ideally with experience within a quantitative hedge fund, and will have some experience of the type of tasks mentioned above.
Key Skills & Experience
Educated to degree level or equivalent in a relevant subject such as Legal
Background and understanding of the asset management industry would be beneficial
Approx. 1-2 years’ experience in a Financial Crime, Investigations, Research, Due Diligence or Legal role preferred
Experience in analytical report writing and production of management information
Exposure working in a regulated environment
A focused, proactive, goal-orientated team member
Self-starter with strong analytical and problem-solving skills
Clear and concise communicator
About Rutherford
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.
Remote working
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.
