Junior Compliance Officer | Systematic Hedge Fund | London
Junior Compliance Officer | Systematic Hedge Fund | London
My client, a forward thinking and growing hedge fund based in London, are currently seeking a exceptionally bright and talented Junior Compliance Officer to join their team.
You will assume responsibility for the company's compliance status vis-à-vis a variety of regulatory
agencies and in various jurisdictions, the principal one being the FCA. To be successful, you must be a tenacious, driven individual, who is adept at learning new skills quickly and efficiently and thrives on a challenge.
Responsibilities include:
** Managing regulatory relationships with the FCA, BaFin, NFA SEC
** Keeping up to date with global regulatory developments and updating internal policies and
procedures
** Providing periodic compliance reports to Regulatory Bodies and relevant Boards
** Implementation and ongoing enhancement of the compliance monitoring programme.
** Providing accurate and timely advice to business areas
** Reviewing marketing and client documentation to ensure it is fair, clear and not misleading
** Liaising with relevant parties regarding trade reporting and investigations
** Specifying and assisting in the development of IT support from a compliance perspective
** Provision of monitoring and execution functions relating to anti money laundering
** Oversight of personal account dealing and gifts policies
** Identifying and dealing with individual registrations
** Ensuring periodic statements of compliance are provided by employees
You should be:
* Familiar with UK regulations (FCA), pan-European regulations (ESMA guidelines) and have
working knowledge of US regulatory agencies and procedures.
* Have working knowledge of plain vanilla financial instruments (Equities, Bonds, Forwards,
Futures, Swaps)
* 2-3 years experience in compliance, from either a compliance advisory or regulatory background;
a pure AML background is considered unsuitable for this role
* Inquisitive, tenacious, able to hit deadlines
* Willing to assume responsibility for decisions
* Excellent communication skills in written and verbal English
* Excellent attention to detail
* You should have strong inter-personal skills and a mature attitude.
The company is more than happy to provide training and support for the right individual in this role and there is a wealth of compliance knowledge held across various employees.
If you feel that you have the relevant skills and experience for this role and would like to apply, please contact me with a full CV and if suitable, I will contact to discuss.
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