A well established multibillion dollar multi-strategy Hedge Fund Manager based in the West End are currently looking to add a Compliance Officer to their ranks. They have experienced a period of continued growth and as a result this hire has presented itself. It will involve assisting the COO in all regulatory areas and it is expected that the candidate will assume the role of Chief Compliance Officer once becoming familiar with the organization and specific regulatory requirements. 

The Role 

• Responsible for the practical application of, and strict adherence to, the FSA rules throughout the organization, including trading and management
• The candidate will be the designated compliance point of contact for external bodies and internal matters
• Liaising on a regular basis with traders and other members of front office staff to provide practical advice on all compliance aspects of trades and prospective trades
• Implementing new compliance policies and procedures and coordinating the training of other members of staff, as required
• Managing the compliance monitoring program and conduct regular internal audits, including recurring reviews of compliance and controls against business activities
• Responsible for all regulatory and compliance administrative tasks including maintenance of the Compliance Manual and all compliance files, keeping requisite registers and performing appropriate KYC checks on trading counterparties
• Coordinating the reporting of significant shareholdings for all jurisdictions, as well as the UK Takeover Panel disclosure regime
• Maintaining the training and competency records and ensure that all personnel who undertake an FSA controlled function are approved by the FSA and have attained and maintain the requisite skills for the function
• Assisting the HR manager with employee-related compliance issues and human resource administration
• Escalating any serious compliance issues to the CEO.

  The Candidate  

• At least 3 years experience in a compliance environment, preferably fund management
• Thorough knowledge of applicable FSA rules, regulations and guidance
• Solid understanding of the FSA Handbook and how the rules apply to fund management
• Familiarity with compliance issues relating to trading
• Familiarity with the regulatory environment in the US and other major jurisdictions
• Ability to understand investment process and philosophy, products and business channels
• Excellent communication skills; ability to explain complex issues to all audiences
• Ability to work autonomously and as a team player
• Strong organisational ability, and a methodical and self-disciplined approach to work
• Demonstrated ability to work under pressure and use own initiative.