United Kingdom

Compliance Officer

 

RESPONSIBILITIES:

  • Manage the firm's UK compliance program incorporating FCA and other relevant EMEA regulatory provisions and ensuring compliance with applicable regulatory regimes such as MiFID II and GDPR
  • Assisting with the implementation policies, procedures and monitoring requirements associated with applicable regulatory developments such as MiFID II, AIFMD, UK Senior Managers Regime, Market Abuse Regulation, 4th EU Money Laundering Directive, etc.
  • Primary responsibility for the compliance oversight of the activities across EMEA, assisting with maintaining compliance manuals, policies and procedures in EMEA as required
  • Provide real-time trading advice across all of the firm’s business units, and assess compliance/regulatory risk in the firm’s trading processes.
  • Assisting in the implementation of appropriate governance procedures and documentation, including allocation and conflicts management advice, pre and post trade compliance and regulatory reporting for any trading activities of MiFID II instruments or under other applicable EMEA regulatory regimes
  • Support the US team in the firm’s compliance testing and monitoring activities, including the review of trading and portfolio management activity, forensic testing, various trade surveillance reports and electronic communications
  • Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to compliance risk.
  • Conduct employee compliance training in the UK.
  • Provide strong compliance support and execution with respect to all critical ad-hoc projects.
  • Other duties as assigned

DESIRABLE CANDIDATES: 

  • 5 -10+ years relevant experience managing a global compliance program (fund experience preferred).
  • Legal degree preferred, but not required.
  • Prior experience working in a compliance function with a solid understanding on UK and EMEA regulations
  • Knowledge of derivatives markets and familiarity with complex financial products is appreciated.
  • Ability to work independently/under minimal supervision
  • Displays a high level of professionalism, discretion and maintains confidentiality of all sensitive matters
  • Excellent written communication skills with an aptitude for technology.
  • Familiar working in a fast-paced, high-pressure environment with multiple deadlines.

Apply.

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