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- Tasks: Lead compliance efforts, manage policies, and ensure regulatory obligations are met.
- Company: Join a specialist alternative asset manager focused on hedge funds.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Make a real impact in compliance while working closely with senior management.
- Qualifications: Experience with NFA/CFTC and FCA rules is essential; legal support background preferred.
- Other info: This role requires 5 days in the office, fostering teamwork and collaboration.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a specialist alternative asset manager, looking for a Compliance Manager to assist the COO in upholding the firm’s compliance monitoring program. Please note, this role requires 5 days in the office. THE RESPONSIBILITIES:
- Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations.
- Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment.
- Assess, monitor and manage regulatory risk and implement appropriate policies and procedures.
- Ensure the ICARA and risk register are maintained and regularly reviewed.
- Maintain MLRO reviews and financial crime oversight.
- Qualify prospective investors as professional clients.
- Review and approve marketing materials and other financial promotions.
- Provide compliance advice to the business development function including jurisdictional marketing rules.
- Prepare and submit non-financial regulatory filings.
- Coordinate AML/KYC requests from counterparties and investment entities.
- Ensure privacy and data protection rules are adhered to.
- Monitor staff training against regulatory requirements.
- Assist with legal matters, manage relationships with external counsel, and oversee legal budget and spend.
- Assist in monitoring and managing legal risk, implementing controls and mitigation strategies.
- Assist in establishing and maintaining an efficient UK company structure for regulated and non-regulated activities.
- Assist in overseeing fund entity governance, liaising with the fund board and company secretary.
- Ensure fund offering documents remain up-to-date and compliant.
- Advise on legal aspects of investor communications.
- Assist in drafting, reviewing, and negotiating legal documents (e.g., investment, counterparty, supplier agreements, and employment contracts).
- Assist with oversight of the staff handbook and HR policies/procedures.
- Assist in company secretary duties, including organizing board meetings and maintaining statutory records.
EXPERIENCE REQUIRED:
- Experience with NFA/CFTC and FCA rules (familiarity with MIFIDPRU/IPRU-INV a plus). Managed futures/options experience preferred.
- Awareness of onshore/offshore funds and associated regulatory considerations.
- Experience in compliance or legal support within financial services.
- Exposure to contract review and legal documentation.
- Ability to manage policy updates, record-keeping, and governance tasks.
- Strong liaison skills for internal/external stakeholder coordination
For further information please contact Spencer Evans #J-18808-Ljbffr
Compliance Manager- Hedge Funds employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager- Hedge Funds
✨Tip Number 1
Network with professionals in the compliance and hedge fund sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and regulations. This can help you gain insights and possibly even referrals for the Compliance Manager position.
✨Tip Number 2
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as NFA/CFTC and FCA rules. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment and expertise during interviews.
✨Tip Number 3
Prepare to discuss your experience with compliance monitoring programs and how you've successfully managed regulatory risks in previous roles. Use specific examples to illustrate your problem-solving skills and ability to implement effective policies and procedures.
✨Tip Number 4
Research the company’s recent activities and any news related to their compliance practices. This knowledge will allow you to tailor your discussions during interviews and show that you are genuinely interested in contributing to their compliance efforts.
We think you need these skills to ace Compliance Manager- Hedge Funds
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly with NFA/CFTC and FCA rules. Emphasise any specific roles where you've managed compliance programmes or legal documentation.
Craft a Strong Cover Letter: In your cover letter, explain why you're a great fit for the Compliance Manager role. Mention your familiarity with regulatory frameworks and your experience in managing compliance risks, as well as your ability to liaise with stakeholders.
Showcase Relevant Skills: Highlight skills that are crucial for this position, such as risk assessment, policy management, and legal oversight. Provide examples of how you've successfully implemented compliance measures in previous roles.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Familiarise yourself with NFA, CFTC, and FCA rules, as well as MIFIDPRU/IPRU-INV if possible. Being able to discuss these regulations confidently will show your expertise and readiness for the Compliance Manager role.
✨Demonstrate Risk Management Skills
Prepare examples of how you've assessed and managed regulatory risks in previous roles. Highlight your experience with compliance manuals and monitoring programmes to illustrate your capability in this area.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to liaise with various stakeholders. Be ready to discuss how you've effectively communicated compliance advice and coordinated with internal and external parties in the past.
✨Prepare for Legal Discussions
Since the role involves legal matters, brush up on your knowledge of contract review and legal documentation. Be prepared to discuss your experience in drafting and negotiating legal documents relevant to the financial services sector.
