Compliance & Legal Associate recruitment

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 FSA regulated office 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

• Candidates should be able to demonstrate a minimum of 3 years relevant 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 an alternatives firm strongly preferred

• Strong academics, educated to degree standard (ideally minimum 2:1) in Law or similar

• Preferred that candidates have some legal training and experience - may consider LPC although recently qualified would be preferred (please note that with both options you must also be able to demonstrate compliance experience as outlined)

• 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

This an outstanding opportunity to join a leading global alternatives firm in a rewarding and challenging role and as such the client has high expectations. Please only apply if you meet the criteria above.