We are delighted to be working with a long/short equities hedge fund, who are looking for a 2nd in command for their Compliance team.
THE RESPONSIBILITIES:
Support the ongoing development of the Firm's Compliance programme (including market abuse, employee conduct, expert network and ecomms surveillance), focussing on automating controls, updating workflows and systematisation;
Provide real time guidance and advice to the Firm's investment and non investment team on key European and US rules, regulations and internal policies;
Provide support with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact to the Firm's business;
Support the review of the Firm's market abuse surveillances, technology and algorithms and related processes covering employee conduct, sanctions and money laundering;
Support the review and ongoing development of the Firm's manuals, policies and training programme that support the strong compliance culture, including delivery of trainings; and
Support the completion and filing of ongoing regulatory disclosures, reports and statements across jurisdictions.
EXPERIENCE REQUIRED:
Minimum of 5-7 years of direct advisory or regulatory compliance experience within a hedge fund, investment bank or asset manager with strong understanding of the nuances of key regulations applicable in the UK, EU and US.
Degree level and professional qualifications such CISI Compliance Diploma, and experience with compliance technology/workflows are an advantage. Expected to have deep and complex knowledge of the rules and practical application;
Excellent knowledge and understanding of EMEA and US Equities markets and structure, trading channels and flows, offerings and compliance related considerations and dynamics;
Excellent analytical skills, attention to detail and ability to work independently and in a multi disciplinary team to deliver strong and measurable outcomes; and
Deep interest in compliance/financial markets and driven to solve complex problems and identify upcoming challenges.
For further information please contact Spencer Evans
