Senior Compliance Officer – Quant Hedge Fund – 22nd October 2019
Our client a leading systematic investment management company is looking for someone to join their Compliance team.
The role will also involve you working with other departments including senior managers and Board directors. This is an excellent opportunity for someone looking to further their compliance skills in a fast-paced and challenging environment. With offices in London, the US and Hong Kong and clients from around the world, you will work on a broad array of regulatory matters across multiple jurisdictions and fund structures.
Your primary responsibility will be to assist with the variety of tasks that comprise the internal CMP. The CMP is based on the Firm’s Compliance Risk Assessment and comprises the various checks and processes that Compliance undertakes in order to meet the firm’s obligations to its clients and regulators (FCA, SEC, NFA and SFC) and to comply with jurisdictional rules for all countries to which the firm maintains exposure. These will include:
- Accurate reporting of the compliance monitoring programme results and escalating breaches appropriately.
- Ensuring the compliance monitoring procedures and regulatory reporting procedures are kept up to date and that they continue to evolve in line with regulatory changes.
- Assisting with and collating accurate information to ensure submission of timely regulatory filings.
Beyond the CMP, you will also be involved with the review and approval of financial promotions, assisting the Client Services team with the completion of due diligence questionnaires, compliance on-boarding of new managed accounts, intermediaries and rebate agreements (including AML), writing, reviewing and updating policy documents, keeping up to date with international regulatory developments and amending procedures accordingly, assisting with updating of international selling restrictions in relevant jurisdictions and developing and rolling out periodic compliance training to employees.
- Minimum of 3-5 years in a similar compliance role at an asset manager or hedge fund manager.
- Good knowledge of the regulations applicable to systematically traded hedge funds (particularly MiFID II and AIFMD).
- Some knowledge and experience of US regulations and the UCITS directive would be useful
- An interest in financial markets and financial products including an understanding of managed futures specifically and hedge funds generally.