Compliance Officer – Hedge Fund – Permanent Role – 13/2/20

 

Our Client, a leading Hedge Fund is looking for a Compliance Analyst to provide support to the Compliance and Legal Departments.

This job opening represents an exciting opportunity to join a rapidly growing business with institutional backing and a proven track record in delivering a suite of financial services to a market-leading standard.  The successful individual will be able to combine their industry experience with a vision for further product development in a dynamic, challenging and supportive environment.

The Compliance and Legal Departments provide regulatory, compliance and legal support for the business and its clients. We are looking to expand the team and add a Compliance Analyst with a focus on drafting documents and identifying and reviewing regulatory requirements, reporting into the Chief Compliance Officer, whilst also providing support to the General Counsel.

 

MAIN DUTIES/RESPONSIBILITIES OF THE ROLE: 

 

Compliance:

  • Drafting compliance policies, marketing documentation review & approval, counterparty approvals and reviewing regulatory documents.
  • Compliance monitoring and oversight of the company’s regulated activities against FCA requirements, as part of day to-day compliance activities.
  • Assisting with the monthly compliance MI collation and reporting to the Executive Committee.
  • General administration for the Compliance Department including maintaining compliance registers and compliance files..
  • Providing cover as necessary for other members of the Compliance team.

Legal:

  • Preparing first drafts of various agreements including NDAs, service agreements etc.
  • Reviewing and commenting on NDAs, commercial agreements etc.
  • Dealing with execution formalities.
  • Company secretarial duties including diarising and attending to filings, drafting minutes/resolutions, authorised signatory lists etc.
  • General administration for the Legal Department including proof-reading, formatting documents and filing/organising legal documentation.

 

PERSON SPECIFICATION

 

Work Experience/Background

Essential

  • Excellent academic credentials with at least an upper second degree from a Russell Group University.
  • Paralegal experience.
  • Worked at an Investment Bank or Asset Manager in the Compliance or Legal Departments.

Desirable

  • Knowledge of a wide spectrum of products (e.g. Equities, Fixed Income, Derivatives, FX Credit, Rates).
  • Paralegal or legal qualifications.

 

Technical/Business Skills & Knowledge

Essential

  • Good working knowledge of Office applications including Word, PowerPoint and Excel.

Desirable

  • Good working knowledge of other compliance software e.g. Global Relay.

 

Other Requirements

Essential

  • Discreet and trustworthy.
  • Good judgement.
  • Meticulous attention to detail.
  • Effective communication skills, both written and spoken.
  • Effective time management skills.
  • Articulate, presentable and personable.
  • Strong inter-personal skills.
  • Professional, confident and enthusiastic.
  • Proactive, self-starter.
  • Team player.
  • Must be demonstrably interested in the industry and Compliance.
  • Willingness to learn, adapt and work hard.
  • Resilience to work in a demanding environment.
  • Hands on attitude.

 

Standard hours will be 8am to 6pm with other such hours as are necessary to fulfil the role, some flexibility required. Responsibilities for the job include supporting the existing framework incorporating the support of overseas offices.

 

Contact

Name: Felix Blumer

Email: felix@rutherfordsearch.com

Number: 020 3778 0846

Posted: 13/02/2020