Compliance Officer

Compliance Professionals; Greater London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A hedge fund firm in Greater London seeks a 2nd in command for their Compliance team. The successful candidate will support the development of the Compliance programme, provide guidance on key regulations, and review market abuse surveillance processes. With 5-7 years of compliance experience in finance, you’ll be expected to have a strong understanding of UK, EU, and US regulations, with an emphasis on analytical skills and a proactive approach to solving complexities in the compliance landscape.

Qualifications

• 5-7 years direct advisory or regulatory compliance experience in finance.
• Strong understanding of UK, EU, and US regulations.
• Knowledge of compliance technology and systems is a plus.
• Analytical skills with attention to detail.
• Interest in compliance and financial markets.

Responsibilities

• Develop and automate the Compliance programme.
• Provide guidance on European and US regulations.
• Interpret new rules and assess regulatory risks.
• Review market abuse surveillance processes.
• Enhance compliance manuals and training programmes.
• Complete regulatory disclosures and reports.

Skills

Advisory compliance experience

Regulatory compliance understanding

Analytical skills

Attention to detail

Teamwork

Problem-solving

Education

CISI Compliance Diploma

Degree level education

Job description

THE COMPANY:

We are delighted to be working with a long/short equities hedge fund, who are looking for a 2nd in command for their Compliance team.

THE RESPONSIBILITIES:

• Support the ongoing development of the Firm’s Compliance programme (including market abuse, employee conduct, expert network and ecomms surveillance), focussing on automating controls, updating workflows and systematisation;
• Provide real‑time guidance and advice to the Firm’s investment and non‑investment team on key European and US rules, regulations and internal policies;
• Provide support with the interpretation and implementation of new rules/regulation – assessing regulatory risks, regulatory changes and potential impact to the Firm’s business;
• Support the review of the Firm’s market abuse surveillances, technology and algorithms and related processes covering employee conduct, sanctions and money laundering;
• Support the review and ongoing development of the Firm’s manuals, policies and training programme that support the strong compliance culture, including delivery of trainings; and
• Support the completion and filing of ongoing regulatory disclosures, reports and statements across jurisdictions.

EXPERIENCE REQUIRED:

• Minimum of 5-7 years of direct advisory or regulatory compliance experience within a hedge fund, investment bank or asset manager with strong understanding of the nuances of key regulations applicable in the UK, EU and US.
• Degree level and professional qualifications such CISI Compliance Diploma, and experience with compliance technology/workflows are an advantage. Expected to have deep and complex knowledge of the rules and practical application;
• Excellent knowledge and understanding of EMEA and US Equities markets and structure, trading channels and flows, offerings and compliance related considerations and dynamics;
• Excellent analytical skills, attention to detail and ability to work independently and in a multi‑disciplinary team to deliver strong and measurable outcomes; and
• Deep interest in compliance/financial markets and driven to solve complex problems and identify upcoming challenges.

For further information please contact Spencer Evans