Rutherford is partnered with a boutique investment manager that is looking for their first Head of Compliance. The firm are an equities specialist business that have a strong reputation across multiple strategies. As the CCO, you will be tasked with taking the firm through FCA authorisation and growing the global compliance function.
Responsibilities:
* Develop a best-in-class compliance framework and take the firm through FCA Authorisation from their AR.
* Be the point of contact for various global regulators, including FCA and SEC.
* Build a compliance team in London to manage the growth of the business over the coming years.
* Manage day-to-day compliance responsibilities, including code-of-ethics, regulatory developments, on-boarding, marketing compliance and more.
* Deliver compliance/regulatory training to the front office and wider team.
Requirements:
* 8 - 12+ years of experience, as a Head of Compliance or Deputy Head of Compliance
* Strong UCITS and FCA regulatory knowledge
* Proven experience in a small team and ability to work autonomously