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My client, a successful Hedge Fund, is currently seeking a Chief Compliance Officer to oversee all UK compliance operations from their London office. This role will serve as CF10 and CF11.

The main areas of responsibility will include:
Analysing and implementing new FSA-issued rules and proposals, including remuneration policy and EU-issued rules/directives.
Understanding and implementation of UK filing obligations including short sale rules regarding financial sector stocks and rights offerings.
Interface with traders and analysts to answer questions related to firm-wide compliance matters, including, but not limited to, questions related to personal trading, gifts/entertainment, use of consultants policy.
Liaise with the Head office in connection with implementing various firm-wide compliance initiatives.
Responsible for submitting applications to FSA for registration and de-registration of employees.
Liaise with outside compliance consultant and regulatory counsel in connection with compliance-related matters.
Responsible for organising insider dealing and anti-money laundering trainings.
Assisting controller with making filings over GABRIEL.
Will serve as Authorised Officer for UK immigration scheme, responsible for visa issuance and related matters.

Person
The ideal candidate for this position will have extensive compliance experience gained within a relevant firm. Experience of insider dealing related issues and restricted list issues, as well as knowledge of short sale regulations in other jurisdictions, is a definite plus. Legal qualifications would also be advantageous.

In return this role offers the chance to work within a successful firm and provides a generous salary and benefits package.

FSAI0910-32 - Chief Compliance Officer is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

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