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UK Compliance Officer (SMF16/17)

  • Location:

    London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    02078707409

  • Job ref:

    BAJ023

  • Published:

    14 days ago

  • Expiry date:

    2021-02-05

​Our client, an independent private markets investment firm, is currently looking for a Compliance Officer based in London. Spanning across a large array of sectors including real assets and private equity/credit. The firm is all about implementing responsible and long-term approaches to their investing strategies. Sustainability and integrity are at the forefront of the company’s agenda and investing philosophy, ensuring their clients are making sound decisions for the long run.

The Role

Working closely with the Chief Financial Controller, the Compliance Officer will be responsible for all regulatory and compliance matters. You will be an integral part of the Global Operations team.

The role is based in London, and as such you will be taking on the role of UK Compliance Officer.

Duties

You will be asked to lead all regulatory and compliance matters for the firm. This implies managing the service providers and team members, delivering regulatory and advisory training aligned with the firm’s global compliance requirements. Please note that there are service providers in all jurisdiction in which the firm operates.

You will also be asked to interact with the executive team as well as the independent Chair of the Compliance committee.

Responsibilities may include:

  • Responsibility for the daily compliance coverage of the firm's global compliance requirements;

  • Repressing the compliance function at key governance and risk topics;

  • Taking part in investor due diligence presentations all while meeting covering compliance and governance;

  • Effectively manage service providers on a daily basis, including their deliverables and objectives;

  • Responding to any business queries that are related to regulatory or policy matters with accurate and valued advice;

  • Spearheading key initiatives, project or daily matters as needed;

  • Taking part in strategic and/or regulatory projects, process improvements, policy writing and driving the compliance agenda;

  • Keeping up to date with regulatory matters all while analysing the impact on the firm and its other legal entities;

  • Spearheading Compliance-related risk assessments; and

  • Liaising with other local and Group Compliance functions.

Experience

Our client is looking for the below experience:

  • A university degree in a relevant field

  • 5+ years of relevant experience in the financial services sector within a compliance function; asset management firm ideal

  • Strong experience on developing and maintaining a compliance framework and policy writing for different jurisdictions

  • Strong and up-to-date technical abilities

  • Experience in training, ability to review legal documents, marketing and external materials

  • Broad experience in regulatory reporting, distribution rules and regulatory and compliance requirements in different jurisdictions including applications

  • An individual who can apply knowledge practically with an understanding of the commercial environment


The firm has asked that candidates must have in-depth knowledge of financial products and relevant regulations and compliance requirements. Ideally, this would include investment and key operational processes as well as the comprehension of the need to balance commercial and regulatory risk.


Your Profile

In order to be considered for the role, you must:

  • Be an excellent communicator and be comfortable working as part of a dynamic and global team

  • Be able to engage multiple partners at all levels - this will be important. You must be able to establish yourself as a trusted advisor through building and maintaining effective working relationships with colleagues

  • Have a high standard written and spoken English - knowledge of any other languages would be ideal

  • Be proactive, organised, able to prioritise and meet tight deadlines

  • Be ready to learn and build new skills

  • Have a can-do attitude

  • Have a strong sense of business acumen and an aptitude for commercial reasoning

  • Be hardworking and have strong attention to detail

  • Have a strong capacity to work independently

  • Have an entrepreneurial attitude, with the ability to think critically. The client is looking for someone who will come in and ask the important questions, while confidently suggesting improvements.


About Rutherford

Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, 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 banks 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 exciting about bringing our expanded offering into the technology area.


Remote Working

We are currently looking for regionally-located Compliance professionals from across the United Kingdom 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.