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- Implementing and executing the UK compliance monitoring program
- Reviewing and approval of all personal trading requests through the firm's internal compliance system as well as gifts and entertainment
- Providing accurate regulatory advice to the various lines of business
- Reviewing and signing off on financial promotions
- Effectively maintaining the compliance manual, as well as all policies and procedures
- Timeous preparation and filing of submissions to the regulator
- Supporting in the design and delivery of compliance training to the wider business.
- Working on European focused regulatory projects and associated regulatory change projects.
- Strong academic track record. A degree in law/financial regulation would be advantageous.
- 3-5+ years experience within a reputable investment manager.
- Ability to work independently and excel in a high intensity environment
- Effective verbal and written communication skills.
- Proven stakeholder management ability.
- Ability to exercise strong judgement and be able to act autonomously.
Compliance Officer - London Area, United Kingdom - Rutherford
Description
Our Client
Rutherford have been mandated on an excellent opportunity for a Compliance Officer to join our Private Equity client's London office, reporting into the General Counsel.
Main Duties
Key responsibilities for this position will include, but are not limited to:
Your Profile
For more information about this position, please get in touch with Tevia Kretzmer.
Email:
Phone:
Job Reference: 36147