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Compliance Associate

  • Location: London
  • Sector: Compliance
  • Salary: Negotiable
  • Job type: Permanent
  • Date posted: 21/01/2019
  • Job reference: FH040119
This vacancy has now expired.

Background Information:

The Firm is a multi-billion dollar private alternative investment management business, established over 35 years ago. Headquartered in New York, it has global offices in London, Dublin and Hong Kong. The Firm manages multi-strategy funds that engage in event-driven strategies including distressed debt, merger arbitrage, and convertible arbitrage.

Its Compliance Department is seeking to add a further full time position in its London office due to growth of the business and increasing regulatory requirements. This is a broad role where the successful candidate would liaise closely with the business and support areas of the Firm in relation to all Compliance matters and assist the existing London-based Compliance professional with a broad range of tasks.

Role Description:

  • Understanding and implementation of UK and relevant international filing obligations for European jurisdictions.
    • Knowledge of short sale regulations in UK and other European jurisdictions required.
  • Proactively monitor the UK Compliance Calendar including assisting with FCA filings in Gabriel, submission of applications to the FCA for registration and de-registration of employees performing control functions and updating and drafting of Compliance Policies.
  • Monitor compliance with the Firm's Code of Ethics in relation to PA Trading, Gift and Entertainment, Outside Business Interests and Private Investments.
  • Review, monitor and track the use of consultants and experts.
  • Best Execution MiFID II- Monitor trading activities in relation to best execution, annual reviews and policy updates as well as top 5 venue reporting.
  • Electronic communications - Review email and recorded telephone calls.
  • Completing AML/KYC/RDC checks in relation to:

o Transaction counterparties

o Board members/key individuals

o Executing brokers and other trading relationships

o Managing annual refresh of the above.

  • Assist with analysis and implementation of regulatory change.
  • Assist with compliance training.
  • Knowledge of insider dealing related issues and restricted list/wall crossing issues; Advise on MNPI.
  • Liaise with the New York and Hong Kong office in connection with implementing various firm-wide compliance initiatives and any issues arising.

Candidate Qualifications:

  • Must be well-trained in compliance, having worked in this space for 7 - 10 years
  • Will possess prior experience of compliance in a global multi-strategy multi-billion dollar hedge fund totalling at least 3 years
  • Will bring a working knowledge and experience of regulatory filings to include European short selling disclosures (EUSSR) as well as registrations and GABRIEL
  • Will possess experience of marketing soundings / MNPI / MAR review
  • Strong undergraduate degree (2:1 or international equivalent) or higher
  • Extremely detail oriented, accurate and thorough
  • Proficient in Excel, with the ability to adapt to learning new technology
  • Strong communication skills - ability to communicate clearly and concisely, both orally and in writing
  • Self-motivated and able to apply themselves to a broad range of activities including being able to demonstrate past ability to understand and learn new tasks/areas
  • Responsible and reliable
  • Organized and able to handle multiple priorities
  • Collaborative; team player

Opening date: 07 Jan 2019

Closing date: 05 Feb 2019

Salary indication: Competitive

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