Compliance Officer
Role Overview
We are seeking an experienced Compliance Officer to join our hedge fund's compliance team. The successful candidate will play a key role in ensuring adherence to regulatory requirements and internal policies, supporting the firm's trading and investment activities across multiple jurisdictions.
Key Responsibilities
- Oversee and maintain the firm's compliance framework, policies, and procedures.
- Monitor regulatory developments (FCA, SEC, ESMA) and implement necessary changes.
- Conduct compliance reviews and surveillance of trading activities to identify and mitigate risks.
- Manage regulatory filings and reporting obligations (e.g., FCA, AIFMD, Form PF).
- Advise portfolio managers and senior stakeholders on compliance matters, including market abuse, conflicts of interest, and best execution.
- Lead compliance training programs for staff.
- Liaise with regulators and external auditors as required.
- Support new product launches and assess compliance implications for new strategies.
Skills & Experience
- 5+ years of compliance experience within a hedge fund, asset manager, or investment bank.
- Strong knowledge of UK and EU regulations (FCA Handbook, AIFMD, MiFID II) and ideally U.S. regulations (SEC, CFTC).
- Familiarity with alternative investment strategies, derivatives, and trading compliance.
- Excellent analytical, communication, and stakeholder management skills.
- Ability to work independently and in a fast-paced environment.
Preferred Background
- Previous experience in a multi-strategy hedge fund or similar environment.
- Exposure to compliance technology and surveillance tools.
FAQs
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