Senior Compliance Officer

Firefly Group; City of Westminster; On-site; GBP 70,000 - 90,000; Full time

Job summary

An exciting opportunity exists at a leading hedge fund for a Senior Compliance Officer, responsible for overseeing compliance programmes and supporting compliance initiatives. The role demands extensive experience in compliance within the financial sector and legal knowledge to support regulatory compliance efforts. Located in London, this full-time position focuses on maintaining and enhancing compliance standards.

Qualifications

• 7 years’ relevant financial industry experience in compliance and legal.
• Demonstrated expertise on global regulations including FCA and SEC regulations.
• Experience implementing compliance frameworks.

Responsibilities

• Reviewing legal documentation relating to funds and service providers.
• Assume responsibility for routine compliance monitoring programme.
• Provide compliance reports to the funds' boards of directors.

Skills

Analytical skills

Compliance knowledge

Team management

Excellent communication

Problem-solving

Education

Legal qualifications / training

Job description

Our Vision

Marble Bar Asset Management (MBAM) seeks to partner with entrepreneurial, passionate and driven investment teams who aspire to build best in class firms. Access to capital, institutional infrastructure, advanced front office and risk analytics technology combined with a wealth of business and investment experience empowers portfolio manager entrepreneurs to focus on driving their strategic visions, and delivering superior performance.

Our Story

MBAM’s business is built on the foundations that talent development, embracing technology and a relentless pursuit of excellent and continuous learning are sources of competitive advantage. Our DNA is rooted in a commitment to empower and enable exceptional investment talent.

MBAM has powered the success of entrepreneurial portfolio managers since 2016, making available its trading and behavioural analytics software to Partner Firms in order to both strengthen existing partnerships and nurture newer talent via our incubator.

Throughout our hiring process, we embrace a technology-led approach to identify, develop and support investment talent we feel we can with our deep investment knowledge and proprietary tools.

We look for growth-minded individuals to join a culture of collaboration and learning, which in turn enhances individual talent and performance.

Our Team

Compliance is comprised of a Head of Compliance and a Compliance Analyst, and is looking to grow to include a Senior Compliance Officer.

Your Role

An exciting opportunity exists within this established and successful hedge fund for a Senior Compliance Officer to work alongside the Head of Compliance and Compliance Analyst in delivering to the firm all elements of MBAM’s compliance programme.

Your Responsibilities

Working alongside the Head of Compliance as an experienced member of the Compliance team, providing additional capacity to coverday-to-day work.

· Reviewing legal documentation relating to funds, managed accounts, and service providers.

· Helping to establish training or other such activity to ensure effective training and development of staff in line with current and future regulatory requirements.

· Maintenance of fund and investor documentation i.e. offering memorandum, prospectus, side letters, NDAs, service provider agreements.

· Assume responsibility for the routine compliance monitoring programme, undertaking reviews, writing reports and advising on development

· Carry out market abuse monitoring, including deep dive trade reviews, demonstrating an understanding of the investment industry and trading strategies

· Carry out research into new and developing areas of law and regulation, applying a broad based current knowledge to update policies and procedures in a business appropriate way

· Oversight of maintenance of compliance registers, including personal account trading, breaches, errors and incidents, gifts and entertainment, etc

· Assume day-to-day responsibility for the firm’s restricted lists and sanctions monitoring programme

· Provide compliance reports to the funds' boards of directors and the firm’s clients

· Review and sign off marketing materials, provide advice on marketing rules in different jurisdictions

· Assume day-to-day responsibility forregulatory reporting and staff attestations

· Assist the Head of Compliance in providing support to the Compliance Analyst

What We Are Looking For

Even if you don’t have every skillset/experience listed out below, you may be a great candidate for this position. So if you think you could build your knowledge and develop in this role, then we would like to hear from you.

· 7 years’ relevant financial industry experience in the field of compliance and legal

· A self-starter who is comfortable taking the initiative in resolving issues as they arise

· Legal qualifications / training strongly preferred

· Demonstrated expertise on global regulations including FCA and SEC regulations

· Demonstrated knowledge of fund structures including UCITS, Cayman, and managed accounts

· Experience implementing compliance frameworks

· Ability to support the Firm’s Chief Operating Officer on ad-hoc legal matters

· Leading on advice across policies and procedures

· Ability to analyse various information/data sources to draw insightful conclusions and produce implementable recommendations

· Proven team management skills including the ability to work with, and incorporate input from, the compliance team and senior management

· Excellent communication and presentation skills, both verbal and written

· Determined and detailed with a high level of integrity

· Creative thinker and effective problem solver

The role is situated in London and there is an expectation to be in the office 5 days per week.