Senior Compliance Analyst – SEC, FSA, Regulation – Global Hedge Fund recruitment
We seek an enthusiastic, detail-oriented compliance professional with a keen interest in the investment management industry to help us maintain our internal compliance procedures and ensure our firm's ongoing regulatory adherence. We operate under US, UK and EU regulatory legislation and the compliance manager will be required to be intimately familiar with all three jurisdictions.
Reporting to the Head of Compliance, your responsibilities will be:
• 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 Head of Compliance with due diligence visits to third-party service providers.
• Maintaining and updating the company compliance procedures manual.
• Reviewing and approving marketing materials - financial promotions.
Requirements:
• Graduate degree with a minimum of 4 years' 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.