Compliance Officer- Maternity Leave
One of the top Hedge Funds in Europe is looking for a dynamic person to provide maternity cover in their Legal Compliance team. The team is currently made up of the Head of Legal and Compliance, one lawyer and a compliance professional. It needs someone who is willing to undertake a broad range of work in relation to compliance. The role will be varied and provide good exposure to all aspects of the business. Set out below are examples of the types of matters you may work on in this role.
It is anticipated that you will have between 2 and 5 years experience within the Investment Management or Hedge Fund sector
Key Tasks and Responsibilities:
- Compliance monitoring
- Prepare the quarterly compliance monitoring report for the firm’s board meeting and clients;
- Maintain personal account dealing records; review for any conflict and report to the board any breaches;
- Ensure that FSA and SEC filings are made on a timely basis including application for approved persons and notifications;
- Respond to regulatory queries and correspondence;
- Maintain firm policies and procedures to comply with on-going and changing regulatory requirements. Contribute to firm’s know-how in relation to the same;
- Monitor pre and post-trade compliance using the Eze Compliance Monitor system; assist on rule queries and new rule requests, maintain and update know-how;
- Responsible for correspondence with brokers including the broker approval process, putting terms of business in place and reviewing the broker list on a semi-annual basis;
- Dealing with internal and external compliance queries (e.g. from internal departments, clients, directors, lawyers, tax advisers, prime broker/custodians, administrators, auditors etc); and
- Deal with shareholder disclosure requests.
Candidates must possess the following attributes:
- Excellent communication skills
- Professional attitude
- Ability to work independently and take initiative where required
- Well-organised and good time management skills
- Multi- tasking abilities
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