Compliance Officer

One Ten Associates; Greater London; On-site; GBP 90,000 - 150,000; Full time

Job summary

One Ten Associates are partnering with a multi-strategy fund to recruit a London-based compliance hire. Reporting to the Chief Compliance Officer, you’ll provide compliance coverage across the UK and US entities and advise the front office while owning surveillance and monitoring duties.

The ideal candidate will have 5–15 years' asset management compliance experience, with exposure to both public and private markets, front office advisory experience, and regulatory horizon scanning.

Qualifications

• 5 to 15 years' compliance experience within asset management.
• Exposure across public and private markets would be ideal.
• Experience of working in a front office compliance advisory role, along with surveillance experience.
• Regulatory Horizon Scanning experience, with a focus on asset management regulations.
• Ability to provide clear, concise advice to senior stakeholders and the board.

Responsibilities

• Provide front-office compliance advice to the investment team on a broad range of trading-related matters.
• Lead implementation of relevant regulations, including drafting new policies/procedures and updating systems & controls in accordance to regulatory change.
• Conduct trade surveillance for market abuse, adherence with allocation policy guidelines, best execution and other trading requirements.
• Monitor compliance with investment guidelines, limits and restrictions, and adherence with SMA agreements and side letters.
• Assist the CCO with the review and testing of compliance policies and procedures, compliance manual and code of ethics.
• Assist the CCO with systems and controls development and contribute to the global compliance programme, helping to limit the firm’s regulatory and reputational risk and reinforce the firm’s culture of compliance.
• Assist with communications review, including expert network monitoring as well as other recorded communications.
• Assist with the review and periodic updating of regulatory reporting and filings for both the UK and US entities.

Job description

One Ten Associates are partnering with a multi-strategy fund which is looking to make a London based compliance hire.

Reporting into the Chief Compliance Officer, you'll provide compliance coverage across the UK and US businesses. The firm invests across both public and private markets and you'll be expected to provide compliance advice to the front office/investment team, whilst taking ownership of surveillance and monitoring duties.

Duties will include:

• Provide front-office compliance advice to the investment team on a broad range of trading-related matters
• Lead implementation of relevant regulations, including drafting new policies/procedures and updating systems & controls in accordance to regulatory change
• Conduct trade surveillance for market abuse, adherence with allocation policy guidelines, best execution and other trading requirements
• Monitor compliance with investment guidelines, limits and restrictions, and adherence with SMA agreements and side letters
• Assist the CCO with the review and testing of compliance policies and procedures, compliance manual and code of ethics
• Assist the CCO with systems and controls development and contribute to the global compliance programme, helping to limit the firm’s regulatory and reputational risk and reinforce the firm’s culture of compliance
• Assist with communications review, including expert network monitoring as well as other recorded communications
• Assist with the review and periodic updating of regulatory reporting and filings for both the UK and US entities

The ideal candidate will have:

• 5 to 15 years' compliance experience within asset management
• Exposure across public and private markets would be ideal
• Experience of working in a front office compliance advisory role, along with surveillance experience
• Regulatory Horizon Scanning experience, with a focus on asset management regulations
• Ability to provide clear, concise advice to senior stakeholders and the board