Coopman Search and Selection are currently partnered with one of the most exciting global hedge funds who are looking to hire a Compliance Officer. The role will report in directly into the Compliance Director and form part of a larger team.
In this role you will be acting as the primary contact for any US Compliance regulatory matters, this position, plays a crucial part in providing guidance and ensuring adherence to applicable regulatory requirements, leading the US/UK periodic regulatory filing framework and the running of daily central and operational compliance activities
Key Responsibilities:
* Undertake all Central and Operations Compliance related activities
* Manage US regulatory framework
* Support External investment programme & Operational Due Diligence processes, including AML compliance
* Ensure relevant Compliance legal and regulatory obligations have been adhered to
* Operate Core Compliance programme on daily basis (PAD, OBI, Conflicts, Gifts and Entertainment)
* Providing advice, guidance and support to Employees in relation to any central and ops compliance related queries
* Organise & present Compliance Induction training
* Manage weekly New Joiner and Leaver processes, including but not limited to monitoring completion of employee certifications for new joiners and existing staff annually.
* Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA and other international regulatory bodies, in partnerships with Finance, Operations and Investors Relations teams
* Monitor regulatory developments, Implement and enhance internal Central and Operational compliance policies and procedures as required
* Administration of the NFA Associated Person training and NFA Principal registration processes
* Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population
Experience Required:
* Prior Central and/or Ops Compliance experience is essential
* Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules
* Previous experience in a Compliance role at a buy-side firm is desirable
* Excellent verbal, interpersonal, and written communication skills are essential
* Some team leadership experience is desirable but not essential
* Demonstrate ability to collaborate and partner effectively with global teams.
For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.”