Compliance Analyst – Leading Hedge Fund – London recruitment
We operate under US, UK and EU regulatory legislation and successful candidates will be required to be intimately familiar with all three jurisdictions.
Key responsibilities and accountabilities:
- To help conduct and document the monitoring and testing of reviews of internal Compliance processes to ensure adherence to regulations and internal policies
- To regularly review the compliance programme to ensure relevant rules and regulations are covered appropriately.
- To perform comprehensive testing of processes to ensure that US, UK and EU regulatory requirements are satisfied.
- To report potential compliance issues and recommend changes and/or enhancements to improve efficiencies in procedures.
- Assisting with due diligence visits to third-party service providers.
- Maintaining and updating the company compliance procedures manual.
- Reviewing and approving marketing materials - financial promotions.
Person Specification:
- Graduate degree with previous experience in a Compliance role within an investment management firm.
- Other investment qualifications; IMC, compliance diploma etc.
- Strong written and communication skills, including presentation skills.
- Detailed knowledge of FSA, SEC, NFA rules and regulatory requirements.
- Ability to effectively communicate with all levels of staff up to and including the CEO.
- Good product knowledge - Futures, Equities, UCITS.
July 24, 2012
• Tags: Compliance Analyst, Hedge Funds careers in the UK, Leading Hedge Fund, London recruitment • Posted in: Financial