Compliance (Alternative Investments) recruitment

With a dual reporting line into the global CCO and and European GC you will be based in the London office, although the structure of the firm means there will be exposure across the firm's offices globally

The primary responsibility for the successful candidate will be to coordinate with and advise business professionals and the US offices on compliance and regulatory issues, including, specifically:

• Ensure that the firm continues to conform to FSA policies and coordinate FSA filings including any updates any changes in law/regulation (e.g. Remuneration Code, AIFM directive, etc)

• Ongoing review of the firm’s Global Compliance and Code of Ethics (including AML and market abuse) for European specific issues and training for all firm personnel (all new joiners trained; all staff given annual refresher training)

• Coordinate with 3rd party compliance consultants with regard to compliance monitoring program and other compliance issues

• Issuing clearances to trade

• Equity and short position monitoring and coordination of regulatory filings

• Conducting email surveillance

• Review of marketing materials to ensure compliance with local laws and internal policies

• Performing KYC requests

• Review and negotiate Confidentiality Agreements and other ancillary documents

• Compliance contact for employees in the firm’s other non-US offices

• Remote service and outsourced provider reviews

• Travel to other offices as and when required

Key Skills / Experience

• Good working knowledge of FSA rules applicable to alternative asset managers

• Willingness and ability to learn firm policies and US rules applicable to non-US offices

• Prior experience of working at US asset management firm preferred but by no means essential

• Educated to degree standard (ideally minimum 2:1) in Law or similar

• Experience of drafting and reviewing legal documents

• Ability to respond quickly to real time requests and take a proactive approach to ownership of own workload

• Excellent interpersonal skills with the ability to effectively deal with senior professionals within the firm

In the first instance please send your CV to giles.remmington@theimsgroup.co.uk or call me on 0203 141 9635