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- Tasks: Support trade compliance and assist with regulatory filings in a dynamic hedge fund environment.
- Company: Join a leading global asset manager known for excellence and social impact, managing $28 billion in assets.
- Benefits: Enjoy a collaborative culture, opportunities for growth, and the chance to make a real difference.
- Why this job: Be part of a team that promotes justice and human rights while developing your compliance expertise.
- Qualifications: Bachelor’s degree and 3+ years in asset management compliance; knowledge of MiFID II is essential.
- Other info: Flexibility to support international offices and engage with investment professionals directly.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally. The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
Primary Responsibilities
- Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
- Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
- Assisting with wall crossings and management of the MNPI process.
- Help with the EU and UK regulatory filings and disclosures.
- Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
- Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity.
- Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
- Be a resource to business groups to resolve compliance issues in accordance with firm policies.
- Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed.
Requirements
- Bachelor’s degree or higher.
- 3+ years of experience in asset management or hedge fund compliance.
- Knowledge of MiFID II requirements and other EU and UK regulations as they relate to short selling and substantial shareholding disclosures and the UK Takeover Panel.
- Knowledge and experience with a broad range of instruments and asset classes.
- Strong written and oral communication skills.
- Organized and self-motivated with strong attention to detail.
- Able to multi-task in a dynamic high-pressure environment.
- Experience working directly with investment and trading professionals.
Compliance Officer (Hedge Fund) employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (Hedge Fund)
✨Tip Number 1
Familiarise yourself with the specific regulations and compliance frameworks relevant to hedge funds, particularly MiFID II and UK Takeover Panel rules. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the industry.
✨Tip Number 2
Network with professionals already working in compliance roles within asset management or hedge funds. Attend industry events or webinars to connect with potential colleagues and learn about their experiences, which can provide valuable insights for your application.
✨Tip Number 3
Prepare to discuss real-world scenarios where you successfully navigated compliance challenges. Think of examples that highlight your problem-solving skills and ability to work under pressure, as these are crucial in a dynamic environment like hedge funds.
✨Tip Number 4
Showcase your communication skills by being clear and concise when discussing compliance issues. Practice articulating complex regulatory concepts in simple terms, as this will be essential when educating and training employees on compliance matters.
We think you need these skills to ace Compliance Officer (Hedge Fund)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in asset management or hedge fund compliance. Emphasise your knowledge of MiFID II and other EU and UK regulations, as well as any direct experience with investment and trading professionals.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the firm’s mission. Discuss how your background aligns with their needs, particularly your experience with trade compliance and regulatory obligations.
Showcase Communication Skills: Since strong written and oral communication skills are essential for this role, consider including examples in your application that demonstrate your ability to educate and train others on compliance issues.
Highlight Attention to Detail: Given the nature of compliance work, it’s crucial to showcase your attention to detail. Mention specific instances where your organisational skills helped prevent compliance issues or improved processes.
How to prepare for a job interview at ETRA Talent
✨Know Your Regulations
Familiarise yourself with MiFID II and other relevant EU and UK regulations. Be prepared to discuss how these regulations impact compliance in hedge funds, as this knowledge will demonstrate your expertise and readiness for the role.
✨Showcase Your Experience
Highlight your previous experience in asset management or hedge fund compliance. Be ready to provide specific examples of how you've handled compliance issues or supported trading activities in a high-pressure environment.
✨Communicate Clearly
Strong communication skills are essential for this role. Practice articulating complex compliance concepts in simple terms, as you may need to educate others on compliance issues during your tenure.
✨Demonstrate Flexibility
The role requires flexibility to support different offices. Be prepared to discuss how you've adapted to changing priorities in past roles and how you can manage multiple tasks effectively in a dynamic environment.
