Compliance Manager (Part Time)

Compliance Professionals; London; On-site; GBP 60,000 - 80,000; Part time

Job summary

A leading boutique UK hedge fund is seeking a part-time Compliance Manager to oversee compliance frameworks and ensure adherence to FCA and SEC regulations. The ideal candidate will have strong regulatory knowledge and experience managing compliance initiatives. This role offers the opportunity to work in a dynamic environment and contribute to the firm's compliance strategy.

Qualifications

• Experience managing compliance for firms in FCA and SEC jurisdictions.
• Trustworthy, loyal, and self-motivated.
• Strong problem-solving skills with limited direction.

Responsibilities

• Oversee compliance framework and ensure adherence to regulations.
• Develop and maintain compliance policies and procedures.
• Conduct compliance monitoring and risk assessments.

Skills

Knowledge of FCA and SEC regulations

Attention to detail

Effective communication

Education

Strong academic record

Tools

Steeleye

Job description

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Compliance Professionals provided pay range

This range is provided by Compliance Professionals. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

THE COMPANY:

Our client is a specialist boutique UK hedge fund, seeking a part time Compliance Manager (to work 3 days a week). The ideal candidate will have SEC exposure.

THE RESPONSIBILITIES:

• Oversee and manage the firm's compliance framework, ensuring adherence to FCA regulations, SEC regulations, and other relevant financial regulations
• Develop, implement, and maintain compliance policies and procedures in line with industry best practices for both jurisdictions
• Keep up to date with regulatory developments in both the UK and US, assessing their impact on the firm and implementing necessary changes
• Conduct regular compliance monitoring and risk assessments to identify and mitigate potential risks
• Provide support across a variety of compliance initiatives, including Code of Ethics, cybersecurity, electronic communication surveillance, vendor due diligence, and updating and testing compliance procedures
• Operate the core Compliance program daily, including Personal Account Dealing ("PAD"), Outside Business Interests ("OBI"}, Conflicts of Interest ("COi"), Gifts and Entertainment("G&E")
• Monitor the operations team's daily compliance processes, particularly short and long disclosures
• Maintain compliance records and registers and prepare reports for senior management.
• Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA, and other international regulatory bodies, in conjunction with other business areas
• Assist with legal document reviews and contract negotiations
• Provide compliance training and guidance to staff, ensuring awareness and understanding of regulatory obligations

EXPERIENCE REQUIRED:

• Strong knowledge of FCA and SEC regulations, with experience managing compliance for firms operating in both jurisdictions
• Experience with Steeleye would be beneficial
• Trustworthy, loyal, humble and honest. A self-motivated, go-getter
• Strong self-motivated work ethic willing to take ownership of work product
• Strong attention to detail with demonstrated ability to deliver on a timely basis and be highly responsive
• Effective communicator with track record of problem solving with limited direction
• Emotional maturity and professionalism
• Strong academic record

For further information please contact Spencer Evans

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Part-time

Job function

• Job function

  Finance

• Industries

  Financial Services and Investment Management

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