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Senior Compliance Officer

RutherfordEngland, United Kingdom

19 hours ago

Job type

Full-time

Job description

Base pay range

Direct message the job poster from Rutherford

Consultant - Compliance & In-house Legal

A leading investment firm is seeking a Senior Compliance Manager to join its Risk & Compliance team. This is a broad role covering advisory, monitoring, policy development, and regulatory implementation. You\'ll manage a direct report and work closely with senior stakeholders.

Key Responsibilities

Advise the business on compliance matters
Lead and enhance the compliance monitoring programme
Support regulatory change tracking and implementation
Draft and maintain compliance policies
Deliver internal training and contribute to audits and due diligence
Deputise for the Head of Compliance as needed

About You

Strong knowledge of MiFID II, UCITS, CASS, SMCR, AML, and MAR

Experience in both advisory and monitoring functions

Skilled in policy writing, regulatory tracking, and training delivery

Proactive, organised, and confident managing others

Strong communicator with a pragmatic approach

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Other

Industries

Investment Management and Financial Services

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Compliance Officer • England, United Kingdom

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