Compliance Analyst - Leading Established Hedge Fund - London
- Employer
- Finance Network
- Location
- London, United Kingdom
- Salary
- Dependent on Experience
- Posted
- May 11, 2022
- Closes
- Jun 10, 2022
- Ref
- 14861001
- Job Function
- Other
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
Responsibilities:
Requirements:
The successful candidate must also be willing to sit four exams comprising the CISI Level 6 Diploma in Investment Compliance.
Salary dependent on experience.
- 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.
Requirements:
- 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.