Compliance Analyst - London (UK) New London, England, United Kingdom

Verition Fund Management LLC; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

Verition Fund Management LLC is seeking a motivated Compliance Analyst to join its UK compliance team. The role involves ensuring adherence to regulatory requirements, focusing on the Code of Ethics and SMCR. Ideal for those pursuing a compliance career in the financial services industry.

Qualifications

• Bachelor's degree preferred in a relevant field.
• Good understanding of financial regulations.
• Proficiency in Microsoft Office Suite.

Responsibilities

• Monitor adherence to the Code of Ethics and personal trading.
• Maintain SMCR documentation and assist in certification.
• Conduct regular compliance monitoring activities.

Skills

Analytical skills

Problem-solving skills

Attention to detail

Organizational skills

Communication skills

Education

Bachelor's degree in law, accounting, economics, business, or finance

Tools

Microsoft Office Suite

Job description

Verition Fund Management LLC ("Verition") is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading.

Job Title:Compliance Analyst

Location:London, UK

Summary: We are seeking a highly motivated and detail-oriented Compliance Analyst to join our hedge fund's UK compliance team. The successful candidate will assist in ensuring that the firm adheres to all regulatory requirements, with a particular focus on the Code of Ethics, Senior Managers and Certification Regime (SMCR), and ongoing monitoring activities. This is an excellent opportunity for someone looking to build a generalist career in compliance within the financial services industry, particularly the hedge fund sector.

Key Responsibilities:

Code of Ethics Compliance:

• Monitor employee adherence to the firm's Code of Ethics, including personal trading activities and conflicts of interest
• Conduct regular reviews of employee disclosures and certifications
• Investigate and report any potential breaches of the Code of Ethics
• Assist in the development and rollout of training programmes on ethical conduct

SMCR Compliance:

• Maintain and update SMCR documentation, including registers and employee files
• Assist in the certification process for relevant staff, ensuring all requirements are met
• Support the preparation and submission of regulatory filings related to SMCR
• Monitor ongoing compliance with SMCR requirements and report issues to Head of Compliance

Monitoring and Reporting:

• Conduct regular compliance monitoring activities, including surveillance of trading activities and communications
• Maintain accurate and up-to-date compliance records and documentation

General Compliance Support:

• Conduct research on regulatory changes and assist in the implementation of necessary adjustments
• Support the compliance team in responding to compliance audit inquiries
• Assist with the roll out and tracking of online compliance training

Qualifications:

• Bachelor's degree (law, accounting, economics, business or finance preferred)
• Good understanding of financial regulations, compliance requirements, and ethical standards
• Excellent analytical and problem-solving skills
• Strong attention to detail and organizational skills
• Ability to work independently and as part of a team
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Strong communication and interpersonal skills

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