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Compliance Manager - Hedge Funds - Compl3505

THE COMPANY:
Our client is considered to be one of Europe’s Elite Alternative Asset Management firms who manage a collection of hedge funds, loan products and long only funds.

THE RESPONSIBILITIES:

  • To be responsible for the maintenance of Compliance logs such as Personal Account dealing and Training and Competence records
  • To co-coordinate and maintain approvals of employee brokerage accounts and gift/entertainment expenses
  • To monitor staff completion of compliance training
  • To monitor fund transactions and internal watch lists
  • Responsible for all regulatory and compliance administrative tasks including all compliance files in accordance with the regulations, keeping requisite registers
  • Assist MLRO with KYC checks for potential investors and maintain database of documentation
  • To process FSA approved persons applications and other submissions under the registration regime
  • Ensure all personnel, including new hires, have attained and maintain the requisite skills for their job function and keep abreast of available training courses
  • Maintain the Takeover Panel Disclosure regime and submit reports
  • Monitor and maintain global Substantial Shareholding and Short Selling regimes and submit reports
  • Liaise daily with traders and other members of front office concerning regulatory matters
  • Escalate all compliance issues to the Compliance Officer
  • Maintain appropriate knowledge of regulatory implications as they affect the Fund industry
  • Perform annual review of client files to ensure the file and the client identification documents are valid and up to date
  • Assist Compliance Officer to approve and file financial promotions issued by the firm
  • Understand and maintain the group’s Chinese Wall procedures
  • Participate in ad hoc Compliance projects
  • To ensure all record keeping and department filing is up to date

EXPERIENCE REQUIRED:

  • Possess prior experience in a Compliance environment, Fund Management preferred
  • Must have knowledge and an interest in UK Regulatory markets
  • Display regulatory and market awareness in relation to AML/KYC and COB
  • A solid understanding of the FSA Handbook and how the rules apply to Alternate Asset Management
  • Good working knowledge of Word, Excel, PowerPoint and Outlook

For further information please contact Spencer Evans on spencer.evans@complianceprofessionals.co.uk quoting ref Compl 3505