At a Glance
- Tasks: Lead compliance efforts and manage regulatory risks in a dynamic hedge fund environment.
- Company: Join a specialist alternative asset manager focused on innovative investment strategies.
- Benefits: Enjoy a structured office environment with opportunities for professional growth and development.
- Other info: This role requires 5 days in the office, fostering collaboration and teamwork.
- Why this job: Be part of a crucial team ensuring compliance while gaining valuable experience in financial services.
- Qualifications: Experience with NFA/CFTC and FCA rules is essential; legal or compliance background preferred.
The predicted salary is between 43200 - 72000 £ per year.
Legal & Compliance Manager - Hedge Funds
Legal & Compliance Manager - Hedge Funds
1 day ago Be among the first 25 applicants
Compliance Professionals provided pay range
This range is provided by Compliance Professionals. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
THE COMPANY:
Our client is a specialist alternative asset manager. They are looking for a qualified solicitor with a minimum of three years’ post-qualification experience in a buy-side environment to join as Legal and Compliance Manager.
Please note, this role requires 5 days in the office.
THE RESPONSIBILITIES:
Legal:
- Support the COO and the Board in managing legal matters across the firm and its fund structures, including engagement with external legal counsel.
- Monitor and mitigate legal risks, implementing appropriate controls and strategies.
- Assist in maintaining an efficient UK and offshore corporate structure for both regulated and unregulated activities.
- Oversee governance of fund entities, liaising with fund boards and company secretaries.
- Ensure fund offering documents are accurate, compliant, and up to date.
- Advise on legal aspects of investor communications and fund operations.
- Draft, review, and negotiate a range of legal agreements, including investment, counterparty, supplier, and employment contracts.
- Establish and maintain a robust legal and governance framework for the firm’s cryptocurrency program.
- Support the maintenance of HR policies and the staff handbook.
- Assist with company secretarial duties, including board meeting coordination and statutory record-keeping.
Compliance:
- Maintain and oversee the firm’s compliance framework, including the Compliance Manual, policies, and monitoring programme.
- Ensure ongoing compliance with FCA regulations (including IPRU-INV and MIFIDPRU) and US regulatory requirements (NFA/CFTC).
- Conduct regular reviews of the firm’s ICARA and risk register.
- Oversee financial crime compliance, including MLRO reviews and AML/KYC procedures.
- Qualify prospective investors as professional clients under applicable rules.
- Review and approve marketing materials and financial promotions in line with regulatory standards.
- Provide compliance guidance to the business development team, particularly on cross-border marketing rules.
- Prepare and submit non-financial regulatory filings to relevant authorities.
- Monitor staff training to ensure alignment with regulatory obligations.
- Coordinate responses to AML/KYC requests from counterparties and investment entities.
- Ensure adherence to data protection and privacy regulations.
EXPERIENCE REQUIRED:
- UK-qualified solicitor with a minimum of three years’ post-qualification experience in a buy-side legal or compliance role.
- Strong understanding of FCA and NFA/CFTC regulatory frameworks. Familiarity with MIFIDPRU/IPRU-INV is advantageous. Experience in managed futures or derivatives is preferred.
- Demonstrated experience in legal and compliance functions within an investment management or hedge fund environment.
- Working knowledge of onshore and offshore fund structures and their regulatory implications.
- Proficiency in reviewing and negotiating legal agreements and regulatory documentation.
- Strong ability to manage compliance records, policy updates, and governance processes.
- Excellent interpersonal and communication skills, with the ability to liaise effectively with internal stakeholders, external counsel, and regulatory bodies.
For further information please contact Spencer Evans
Seniority level
Seniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Finance and LegalIndustries
Investment Management and Financial Services
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#J-18808-LjbffrLegal & Compliance Manager - Hedge Funds in London employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Legal & Compliance Manager - Hedge Funds in London
✨Tip Number 1
Network with professionals in the hedge fund and compliance sectors. Attend industry events or webinars to meet people who can provide insights into the role and potentially refer you to opportunities at firms like ours.
✨Tip Number 2
Familiarise yourself with the latest NFA/CFTC and FCA regulations. Being well-versed in these rules will not only boost your confidence but also demonstrate your commitment to compliance during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance risks in previous roles. Highlighting your hands-on experience with regulatory frameworks will set you apart from other candidates.
✨Tip Number 4
Showcase your ability to liaise effectively with both internal teams and external stakeholders. Strong communication skills are crucial for this role, so be ready to provide examples of successful collaborations.
We think you need these skills to ace Legal & Compliance Manager - Hedge Funds in London
Some tips for your application 🫡
Understand the Role:Before applying, make sure you fully understand the responsibilities of a Legal & Compliance Manager in the hedge fund sector. Familiarise yourself with regulatory compliance, risk management, and legal documentation relevant to the role.
Tailor Your CV:Highlight your experience with NFA/CFTC and FCA rules, as well as any familiarity with MIFIDPRU/IPRU-INV. Make sure to include specific examples of your previous work in compliance or legal support within financial services.
Craft a Compelling Cover Letter:In your cover letter, explain why you are passionate about compliance in the hedge fund industry. Discuss your understanding of regulatory risks and how your skills can help the company maintain its compliance monitoring programme.
Proofread Your Application:Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your documents are clear, concise, and free from typos, as attention to detail is crucial in compliance roles.
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 understanding of the compliance landscape.
✨Demonstrate Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance or legal support within financial services. This could include managing compliance manuals or overseeing regulatory risk.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need strong liaison skills. Be ready to discuss how you've effectively communicated with internal and external stakeholders in previous positions.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving abilities in compliance scenarios. Think about how you would handle regulatory breaches or manage compliance training for staff.
