Compliance Officer

Date Posted: Posted30+ days ago
Salary:
London

Job Description

In the role of Compliance Officer in the London Office, the employee will report to the firm’s London Deputy Chief Compliance Officer and work closely with the firm’s global Compliance staff. The position will assist the firm’s London Deputy Chief Compliance Officer and Global Compliance staff with its UK and EU compliance efforts and all regulatory matters for the London office of a global Hedge Fund Manager. The responsibilities include providing day to day compliance support to staff and the business including in relation to Code of Ethics related program and due diligence of third parties, maintain a strong compliance presence within the London office, and foster good culture. The position will require someone who can work directly with, and provide compliance counsel to, investment staff, operations staff and marketing staff. The employee may also conduct compliance training and monitor regulatory developments affecting our UK operation.

RESPONSIBAILITIES:

  • Build out a compliance framework to address and handle thematic reviews as well as driving regulatory projects
  • Carry out the compliance monitoring program with particular focus on data and research vendor vetting, broker requests and reviews, webscrape vetting, and all areas related to code of ethics program (e.g. conflicts of interests, outside business activities disclosures, personal account dealing, restrictions, etc)
  • Conduct gap analysis and reviews as needed
  • Assist with monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required
  • Day to day compliance activities such onboarding, conducting new hire and annual compliance trainings
  • Assist with educating investment and non-investment staff on compliance related matters and enforcing compliance policies
  • Escalate matters to the firm’s London Deputy Chief Compliance Officer as necessary

QUALIFICATIONS & REQUIREMENTS:
In order to effectively represent the Company and communicate with clients, the employee must be someone who has:

  • Practical experience with trade and non-trade related compliance matters
  • Exposure to/understanding of different types of instruments (equities, equity derivatives, macro and credit)
  • Knowledge of insider dealing rules and regulations
  • Knowledge of hedge funds, investment advisory functions and research
  • The ability to work closely with other departments including investment staff, operations, accounting and marketing
  • Highest ethical and professional standards in all dealings, including dealings with internal staff and any external partners, clients and regulatory agencies
  • Ability to work and excel in a high intensity environment
  • Strong written and verbal communication skills
  • Outstanding attention to detail and strong organization skills
  • Extensive compliance experience required

EDUCATION, TRAINING & EXPERIENCE:

  • 5-7+ years of Compliance experience
  • 4 year Bachelor’s degree

Job Type: Full-time

Related Jobs

Job Detail

  • Job Id
    8c0997d68e45e51b
  • Location
    London
  • Company
  • Type
    Private
  • Employment Status
    Permanent
  • Positions
    Available
  • Career Level
    Experience
  • Gender
    Male/Female

Contact

Sponsored by

https://wincleaneras.com connects jobseekers and recruiters by accurately matching candidate profiles to the relevant job openings through an advanced 2-way matching technology. While most job portals only focus on getting candidates the next job, Shine focuses on the entire career growth of candidates.

Latest Job