Job Description
Coopman Search and Selection are delighted to be partnering with a leading multi-strategy hedge fund who have circa $10 billion AUM who are looking hire a Compliance Associate. This role will report directly into CCO.
In this role you will be responsible for supporting the existing members of the London Compliance team. This person will be a key contributor in the day to day running of the compliance programme and also be involved in refining, improving and augmenting it as they grow.
Key Responsibilities:
* Contributing to a comprehensive compliance monitoring program for our UK FCA regulated entity
* Supporting the UK Head of Compliance in developing a compliance framework to support new products & new markets
* Senior Managers and Certification Regime compliance, including associated recordkeeping, regulatory filings and managing the ‘fit and proper’ certification process
* Monitoring MiFID 2 research and corporate access, and preparing materials for Research Committee meetings
* Recordkeeping relating to best execution monitoring
* Market sounding / wall crossing process, including associated recordkeeping
* Share disclosure monitoring and filings
* Trade release process
* Expert network chaperoning
* Gifts and Entertainment monitoring
* Compiling and updating KYC materials
Experience Required:
* 5+ years compliance experience within the asset management environment
* Experience across multiple asset classes
* Experience with both FCA & SEC regulator preferred
* Ability to work in a fast paced & demanding environment
* Able to build strong relationships
For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk
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