Compliance Associate

United Kingdom, London



Description


We manage approximately $3.5 billion with a focus on distressed debt, emerging markets and event-driven/special situations investing. We are a US SEC registered investment advisor and a UK FCA authorized MiFID firm. We have managed investments for external investors since 1999 and have nearly 35 investment, finance and operations professionals based in offices across the globe, including London and New York.

We are seeking a Compliance Associate who is self-motivated, results-driven and forward-thinking. The position will be based in London and report to the firm’s London-based Chief Compliance Office (CCO). The Compliance Associate will be proactive in nature and capable of taking responsibility and possess outstanding organizational skills.

Overview:

  • Assist with the day-to-day compliance function of the firm including creating internal compliance reporting and policies for CCO review, maintaining restricted and watch lists, reviewing expert network use, conducting email monitoring, and US/UK regulatory filings.
  • Assist the CCO in implementing and carrying out its Compliance Monitoring Program (UK) and Annual Compliance Review (US) including helping with reviews, testing, and monitoring of compliance policies and procedures.
  • Liaise with internal and external parties in connection with implementing and maintaining various firm-wide compliance initiatives.
  • Maintain compliance calendar and address regulatory changes as needed.
  • Conduct employee training in areas of compliance, insider trading and AML/KYC.
  • Review firm trading activities and compliance with the firm’s Code of Ethics.
  • Interface with the investment team regarding compliance matters, including, but not limited to, questions related to personal trading, gifts/entertainment, use of consultants/expert networks policy, etc.
  • Draft NDAs and negotiate confidentiality agreements, engagement letters, LOI and other general preliminary transaction documents.
  • Responsibility for AML/KYC counterparty onboarding, monitoring and keeping abreast of regulatory changes.
  • Other ad hoc compliance support and projects as needed.

UK/US-Specific:

  • Analyze and implement newly FCA- and SEC-issued rules and proposals.
  • Provide support in connection with CCO’s CF10 (FCA-registered compliance officer) and CF11 (FCA-registered money-laundering officer) responsibilities.
  • Assist with submission of applications to FCA for registration and de-registration of employees performing control functions.
  • Monitor UK and US compliance reporting and trading.
  • Assist the finance team with making filings over GABRIEL.
  • Knowledge of FCA-related compliance matters.
  • Understand and implement UK and relevant international filing obligations for

Requirements


  • B.A. or B.S. degree demonstrating a strong academic record (2:1, B+) or higher
  • 5-7 years of relevant experience preferably from a large asset manager, hedge fund or financial-services administrator.
  • Strong alternatives-industry compliance experience preferred but not required.
  • Analytical and extremely detail-oriented and accurate with a proven ability to manage multiple deadlines and demands.
  • Results-oriented self-starter with a strong work ethic and the capability to work with general direction and a high degree of independence.
  • Strong relationship management and communication skills and the ability to cooperate with all levels of the organization and to work either independently or with groups.
  • Proficient in Excel and other Microsoft Office products and an ability to adapt to learning new technology.
  • Ability to infrequently travel to foreign affiliated offices as needed.
  • Well-rounded individual with multiple interests and hobbies outside of the workplace.



How to Apply


Please send all responses/inquiries to emcomplianceassociate@gmail.com 

Please quote the "HFM Jobs Board" in the subject line of your application



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