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Compliance Monitoring - Three Days Per Week; Hedge Fund

Part Time
Greater London
08-03-2023 01:48 PM
  • PA dealing monitoring
  • Best execution monitoring
  • Market abuse monitoring
  • Telephone record monitoring
  • Research / inducements monitoring
  • Gifts & entertainment monitoring, and maintaining the gifts register
  • Assist with regulatory reporting – Annex IV, NFA CPO PQRs, SEC and State filings, annual NFA updates, SEC Form ADV updates and FCA REGDATA filings
  • Monitoring portfolio holdings against regulatory reporting thresholds (e.g. SEC 13F & 13H)
  • General compliance admin:
  • Helping to prepare and collate SMCR certificates, statements of responsibility and fitness & propriety assessments
  • circulating and collating annual compliance attestations
  • collating annual appraisals/competency reviews
  • collating annual training logs & training registers
  • collating documents for investor due diligence meeting and compliance audits
  • collating due diligence files on trading counterparties
  • Assist with AML checks on investors (chasing investors, liaising between investors and the fund administrator

This role is intended for experienced candidates.

The candidate should be able to take over key monitoring tasks with only limited training.

We would expect a minimum 5 years’ experience, preferably in-house (candidates from a consultancy background would be considered, but in-house is preferable)

The role is 3 days a week. My client is happy to take life circumstances into consideration and be flexible in how and where the candidate completes their work (subject to a minimum time spent in the office, to be discussed)

Please note the salary quoted is for the three days 

Fergus Hooley


07425 325267