Compliance Officer (part time) recruitment
Currently the COO holds the CF10 11 controlled functions but as they business grows his workload will increase again and he needs to be able to pass on responsibility for compliance. It is expected that the successful candidate will assume these functions when joining. This is a hands-on compliance role and you will be expected to cover all compliance duties within the firm from compliance monitoring and updating processes through to advisory and new fund launches.You should be able to demonstrate significant compliance experience gained in fund management or hedge funds, and currently hold / Read more […]
Compliance Officer (part-time) recruitment
Responsibilities include (but are not limited to):Regulatory Compliance• Ensure that the firm remains compliant with all applicable UK US regulations and codes of conduct• Keep senior management aware of their regulatory responsibilities, changes to rules and current practice• Develop and update Code of Ethics, Compliance Manual and internal procedures as required• Conduct due diligence on new customers and counterparties• Review all legal documentation (new IMAs, Funds Prospectuses, SLAs, etc)• Provide advice and guidance to the business on regulatory legal issues• Provide Read more […]