Deputy Head of Compliance- Asset Management-13/06/19

Our client a leading Hedge Fund is looking for a Deputy Head of Compliance to join their team.

The ideal candidate will have a successful track record within financial markets, knowledge of several asset classes, familiarity with electronic trading (including algorithmic trading) and a strong technical background related to MiFID II rules and demonstrated ability across all aspects of the compliance program.

Primary Responsibilities:

  • Providing advisory support to approx. 200 front office staff covering 8 asset management businesses (Equities / Fixed Income / Macro / Credit / Commodities / Quantitative Strategies):
    o Strategic initiatives / business change / New Business Committee requests
    o Regulatory change – assist in the analysis and strategic review of new regulation
    o Regulatory Risk Analysis – assist in the identification and mapping of regulatory risks
  • Providing second line of defence services to the overall Asset Management business:
    o Oversight and testing of the compliance programme related to:
    – Investor Protection
    – Trading Controls
    – Market Abuse
    -Regulatory Reporting
    – Financial Crime
    – Systems & Controls
  • Providing core compliance support:

o Undertaking outside business interests  / personal investment / gifts and entertainment reviews o Counterparty onboarding / responding to inbound KYC queries
o Undertaking vendor reviews o Chaperoning consultant calls / market soundings meetings
o Handling restricted list overrides o Filing position disclosures
o Maintaining manuals, policies, procedures, risk assessments  o Monitoring markets interventions – bans / sanctions
o Regulatory/Exchange Enquiries – assisting in the analysis and delivery of responses  o Training and Compliance Bulletins – assist in the design and delivery of compliance training and in producing compliance bulletins in relation to relevant topics

• Familiarity with key pieces of European legislation (e.g. SSR, MiFID II, EMIR) and with the FCA Handbook

• General Compliance experience across a range of asset classes.
• Commercially minded with an ability to actively engage within the business.
• Highly organized and capable of managing a diverse workload with competing priorities.
• Numerate and capable in electronic trading platforms and IT.
• Demonstrated ability to manage projects and multiple tasks to completion.
• Proactive, responsive and efficient.
• Resourceful and capable of working autonomously.
•Excellent grammar, written and oral communication skills.
• This is a great opportunity for a smart and self-starting person with a strong work ethic to join a challenging team and make an impact in a dynamic and innovative environment.


Contact Details

Name: Alexia Brodie Cooper


Number: 0207 183 0070

Posted: 12/03/2019