Our client is a preeminent global Private Equity firm. They are seeking to add a motivated new Compliance Officer headcount to their team.
Key Responsibilities
Advise the business on regulation and maintain and update policies as well as controls according to FCA regulatory frameworks.
Maintain the company’s compliance manual to ensure that internal compliance policies adhere to FCA regulatory requirements and guidelines.
Correspond with auditors on matters related to the company’s annual financial audit.
Assist with matters related to the FCA.
Identify gaps in policies and address them to ensure compliance with the FCA regulatory requirements.
Liaise with the FCA.
Work with internal investor relations and marketing team on AML/ KYC matters related to investors for their internally managed funds.
Additional Requirements
High degree of meticulousness and commerciality
Previous recent experience working in a compliance or legal department for a private equity firm.
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.
