Senior Compliance Officer (Advisory)

Rutherford; Greater London; On-site; GBP 65,000 - 100,000; Full time

Job summary

Rutherford, a Global Asset Management firm, is seeking a Compliance Officer to join the advisory team. The role blends compliance advisory and monitoring with exposure to multiple global jurisdictions.

The successful candidate will support advisory functions, assist with policy drafting and training, and produce management information and board reports. Strong stakeholder skills and regulatory knowledge are essential.

Qualifications

• 5-10 years of compliance experience in asset management or financial services.
• Strong knowledge of regulatory requirements and investment vehicles (UCITS, 1940 Act, AIF/Private Funds).
• Proven ability to influence stakeholders and build relationships in a competitive environment.

Responsibilities

• Support the compliance advisory function across multiple jurisdictions, including implementation of new regulations and reviewing marketing materials.
• Contribute to policy drafting, review and providing training across the organisation.
• Produce management information reports, including quarterly compliance reports and board reports.
• Assist with the compliance monitoring program by reviewing and testing compliance processes.

Skills

Regulatory compliance

Asset management

Stakeholder management

Risk assessment

UCITS funds

Testing controls

Job description

We are currently seeking a Compliance Officer to join a Global Asset Management firm. This is a fantastic opportunity for a compliance professional to develop within the advisory team. The role offers a dynamic blend of compliance advisory and monitoring responsibilities, providing exposure to a wide range of global jurisdictions.

Responsibilities:

• Support the compliance advisory function across multiple jurisdictions, including the implementation of new regulations and reviewing marketing materials.
• Contribute to policy drafting, review and providing training across the organisation.
• Produce management information reports, including quarterly compliance reports and board reports.
• Assist with the compliance monitoring program by reviewing and testing compliance processes.

Requirements:

• 5-10 years’ experience in a compliance role within asset management or a similar financial services environment.
• Solid understanding of regulatory requirements and investment vehicles (UCITS, 1940 Act, AIF/Private Funds).
• Ability to influence stakeholders and build strong relationships in a competitive environment.