A leading UK Hedge Fund is looking for a Compliance Officer to join their growing compliance function in London. This is a generalist role and thanks to the small team size you will cover all compliance activities.
The role sits within a small compliance function, reporting into the Head of Compliance and has been created due to the growth the company is currently going through.
- Completion of daily tests
- Preparation & submission of regulatory reports to FCA & SEC
- Maintenance of Order Management System's Compliance Module rules and procedures.
- Performing elements of the Compliance Monitoring Programme, which includes the monitoring of operations, trading and best execution.
- Maintaining new joiners/leavers files and Training & Competence files
- Maintaining PA trading records, Gifts Logs, error logs etc.
- Review and sign-off of Financial Promotions.
- Administration, including preparation and maintenance of the Compliance policies & procedures.
- Regulatory Research to assist the Compliance team.
- Undertaking KYC & due diligence activity, as required.
- 3+ year's experience within asset management sitting within compliance
- Strong academic background
- Knowledge of AIFIMD Risk Management requirements & processes.
- Knowledge & experience of regulatory reporting.
- Good knowledge of financial promotion rules & use of language.
- Autonomous & proactive attitude.
- Proactive, self-supportive and motivated in the development of a positive compliance culture.
If you are interested in this role, please apply below or contact me for more information.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.