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Compliance Officer - Hedge Fund

London, United Kingdom
£110k - £130k
Closing date
Aug 8, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Reporting directly into the UK Director of Compliance and working closely with the global Compliance team, you will be responsible for:
  • Carry out the compliance monitoring program including trade monitoring and surveillance, trade and transaction reporting and research vetting
  • Review of trade errors, market abuse related matters and market soundings
  • Carry out counterparty onboarding and periodic reviews
  • Conduct gap analysis and compliance desk reviews as well as annual compliance reviews
  • Assist with monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required
  • Assist with educating investment and non-investment staff on compliance related matters and enforcing compliance policies

  • Practical experience with trade and non-trade related compliance matters (including trade monitoring)
  • Exposure to/understanding of different types of instruments and asset classes (equities, equity derivatives, macro, commodities and credit)
  • Knowledge of insider dealing rules and regulations
  • The ability to work closely with other departments including investment staff, operations, accounting and marketing
  • Ability to work and excel in a high intensity environment
  • Strong written and verbal communication skills
  • Outstanding attention to detail and strong organization skill

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