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The Company

My Client is a City based Hedge Fund Manager with over $7B AUM. They are looking for a Compliance Administrator who is willing to undertake a broad range of work in relation to compliance, company secretarial and HR duties. The role will be varied and provide good exposure to all aspects of the business

Assistant Company Secretary

• Prepare annual returns and ensure that appropriate persons file the financial accounts on a timely basis to the Companies House
• Prepare any required filings with Companies House
• Act as secretary in meetings where required
• Liaise with the fund company secretary on fund matters including corporate governance, policies and board meetings.

Compliance tasks

• Oversight of the compliance monitoring program with assistance where required from the Head of Legal and Compliance
• Oversight of the quarterly compliance monitoring report for the board meeting and clients
• Oversight of the preparation of money laundering checklists and annual money laundering report to the board
• Responsible for oversight of the compliance administrator
• Assist with developing systems in relation to compliance monitoring and other regulatory reporting such as dealing commission reports for clients
• Maintain personal account dealing records; review for any conflict and report to the board any breaches
• Ensure FSA filings are made on a timely basis including application for approved persons and notifications
• Ensure that the appropriate persons files annual and quarterly financial returns are made with the FSA on a timely basis
• Assisting in completing and filing of relevant documents with local Stock Exchange once disclosure limits are reached in respect of stock holdings by clients
• Dealing with internal compliance queries
• Advising management on regulatory developments and any changes to polices and procedures
• Updating internal policies and procedures to comply with regulatory requirements

HR tasks

• Co-ordinating induction for all new staff
• Maintain personnel files for all staff
• Ensure structure chart is kept current
• Ensure training and competence records for all staff
• Ensure job profiles for key employees are up to date

Other tasks

• Liaison with internal departments, clients, directors, lawyers, tax advisers, prime broker/custodian and administrators, auditors to answer queries
• Oversight of correspondence with brokers
• Arrange payment of certain invoices
• Complete trading documentation where required in relevant jurisdictions
• Monitoring registration in jurisdictions
• Dealing with compliance with other rules and preparing reports to the board and clients as required.
• Responsible for monitoring compliance with the Hedge Fund Standards

For further information, please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref Compl3825

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