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VP Legal & Compliance Advisory – Investment Management

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Felix Blumer

  • Contact email:

    felix@rutherfordsearch.com

  • Job ref:

    BLF003

  • Published:

    2 months ago

  • Expiry date:

    2020-09-20

​An exciting opportunity has arisen for a Vice-President to join our client’s EMEA Compliance Department. This position will complement an existing team of expert compliance professionals based in London and will report directly into the EMEA Head of Client Solutions.

MAIN DUTIES/RESPONSIBILITIES OF THE ROLE
  • Making a strong contribution to the Compliance Team’s provision of qualitative compliance advice, advisory support and oversight.

  • Further cementing the relationship between the Compliance Team and business stakeholders and promote a first-class compliance culture.

  • Advising on, interpreting regulations, and advising on the application the Firm’s compliance policies in relation to existing and new business initiatives, issue identification and management and breach resolution

  • Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice.

  • Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate and/or fund boards and the Firm’s business stakeholders.

  • Providing advice on the anticipation, impact assessment and response to regulatory developments.

  • Designing and delivering effective regulatory training initiatives to the business.

  • As a senior member of the team, developing less experienced members of the team and supporting colleagues with knowledge sharing and cross-training.

KNOWLEDGE/EXPERIENCE REQUIREMENTS
  • At least 7 years relevant experience within a control function, ideally compliance or legal, within the asset management industry

  • A demonstrably successful record in collaborating with business stakeholders, legal and other compliance functions would be a distinct advantage

  • The successful candidate will exhibit strong partnership, technical regulatory and relationship management skills.

  • The strength of character to offer healthy challenge will be essential, as will be the ability to engage successfully with stakeholders at all levels of the business.

  • A highly-motivated self-starter, the successful candidate will demonstrate sound judgement, excellent technical and regulatory knowledge, a strong team ethic, combined with high energy, enthusiasm, intellectual curiosity, resilience, tenacity, diplomacy and relationship management skills.

  • Strong communication skills with an ability to articulate complex regulatory matters and well-developed relationship management skills

  • Technical ability and mindset to challenge the status-quo and deliver a solutions-driven approach and the judgement to use this in appropriate circumstances.

  • Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.

  • Demonstrable ability to influence a highly performing internal client base by delivering timely, credible, accurate and value-added advice.

  • Highly effective written and verbal communications skills.

  • Excellent organisational skills with ability to prioritise workloads progress multiple tasks and adhere to deadlines.

  • Ability to collaborate effectively both within the team and across functions and to work autonomously with minimal supervision.

  • Knowledge of MiFID requirements (including investment advice, product governance and research), conduct of business requirements and regulatory requirements in relation to the distribution of services in EMEA.

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.