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Compliance Analyst - Hedge Fund

FHJBP
50-60,000
Full Time
Greater London
London
28-07-2022 04:41 PM

The firm primarily invests in global opportunities

It offers a challenging and exciting environment in which to work, where all employees are expected and encouraged to contribute to the best of their abilities, to work hard and to treat their colleagues with the utmost respect.

The successful candidate will support the General Counsel (GC), both internally and externally, for all compliance matters related to the firm and the funds.

They will assist in the maintenance and development of appropriate policies and procedures and assist in the implementation of an effective compliance training and monitoring programme.

They will stay abreast of regulatory developments and new requirements by maintaining a strong relationship and two-way dialogue with relevant constituents such as regulators, compliance consultants service providers and industry peers.

The Legal and Compliance department will be responsible for ensuring that all staff are aware of current and future compliance requirements, both personally and at the firm level, through clear and concise communication and the implementation of an effective training programme.

Responsibilities

• Provide general support to the Legal and Compliance team.

• Responsible for employee onboarding and compliance matters including the management of compliance certifications, personal account dealing requests and holdings disclosures, and gifts/entertainment requests and disclosures.

• Assisting with ‘Business as Usual’ daily compliance processes.

• Administration of the Firm’s training program, including the maintenance of relevant training logs.

• Supporting the Firm’s compliance framework for research consumption.

• Supporting the Firm’s compliance with the FCA Individual Conduct Rules, SMCR and SEC reporting requirements.

• Processing KYC requests from brokers and other service providers.

• Assisting the Firm with its general record-keeping obligations.

• Monitoring of domestic and international policy and regulatory developments.

• Involvement in compliance projects, including implementation of regulatory changes and ongoing improvement of compliance systems.

• Assist with the review and approval of marketing material including, but not limited to, monthly investor letters, marketing presentations, ad hoc investor communications and the firm’s website.

• Supporting MLRO with the liaising with the MLRO officers appointed to the funds.

• Responsible for the design and implementation of compliance logs including, but not limited to trade error logs, forbidden investments, insider lists, etc.

• Assist with the management of the relationship with the firm’s compliance consultant.

• Responsible for coordinating and delivering responses to regulatory communications and surveys.

Skills, Attributes, and Experience

• 2 years’+ experience of compliance or financial regulatory matters at an asset manager, bank, law firm, regulator, consultant, or other relevant institution.

• Bachelor’s degree. Law, economics or a finance-based subject is preferable, but not essential.

• Self-starter, with an emphasis on achieving goals and completing tasks to a very high standard.

• Excellent attention to detail.

• Ability to work independently and to take ownership of tasks within a collaborative team structure, including strong interpersonal skills.

• Strong written and verbal communications skills.

• Excellent organisational skills.

Fergus Hooley

DIRECTOR - COMPLIANCE

07425 325267