Compliance Analyst - Leading Established Hedge Fund - London

London, United Kingdom
Dependent on Experience
11 May 2022
10 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Support the head of compliance with the Firm's compliance monitoring programme and prepare for the firm's quarterly compliance reviews;
  • Conduct telephone monitoring, email surveillance and expert network call chaperoning;
  • Assist with the preparation of SEC filings for submission (ADV, 13H/F/G, CFTC, Form D);
  • Oversee the firm's record keeping with regards to conflicts of interest, gifts and entertainment, breaches, staff attestations, training and maintaining internal registers;
  • Drafting and finalising compliance policies and manuals and implementing new compliance procedures;
  • Manage the wall crossing and market sounding processes as well as shareholder disclosure requests; and
  • Assist with the preparation of the annual Fitness and Proprietary assessments for SM&CR.

  • Graduate (2:1 or higher and preferably a law degree)
  • Excellent academic background
  • Strong analytical and problem-solving skills
  • Ability to conduct analysis, form reasoned arguments and work autonomously
  • Strong drafting skills
  • Keen attention to detail and ability to think beyond what may have been asked.

The successful candidate must also be willing to sit four exams comprising the CISI Level 6 Diploma in Investment Compliance.

Salary dependent on experience.

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