Senior Compliance Officer

Location: London, UK (4 days in office) Salary: £120,000 – £140,000 + discretionary bonus (25-30%) Industry: Hedge Fund / Asset Management Experience Level: Senior (5+ years) The Role A leading hedge fund is seeking a Senior Compliance Officer to oversee and enhance its compliance framework. This role requires a deep understanding of FCA and SEC regulations, as well as experience working within equity long/short and derivatives strategies (futures & options). The successful candidate will play a critical role in ensuring regulatory compliance across multiple jurisdictions (UK, US, and potentially Dubai and CFTC markets) while fostering a strong internal compliance culture. Key Responsibilities Regulatory Compliance & Oversight • Act as a senior compliance lead for all FCA and SEC regulatory matters, with additional oversight of DFSA and CFTC compliance where applicable. • Develop, implement, and enhance compliance policies, frameworks, and procedures to meet multi-jurisdictional regulatory requirements. • Manage regulatory reporting obligations, including FCA filings (GABRIEL, SMCR compliance), SEC Form PF, and other required disclosures. • Conduct compliance monitoring, trade surveillance, and regulatory risk assessments. Advisory & Risk Management • Provide strategic compliance guidance to senior management, trading desks, and investment teams. • Identify and mitigate compliance risks related to trading, market abuse, conflicts of interest, and best execution. • Stay ahead of regulatory developments and ensure compliance processes align with industry changes. SEC & FCA Compliance Focus • Ensure compliance with SEC regulations, including the Investment Advisers Act, Form ADV updates, and US marketing rules. • Oversee FCA compliance, including SYSC, COBS, MAR, and hedge fund-specific obligations. • Respond to regulatory audits, inquiries, and inspections from relevant authorities. Internal Compliance Culture & Training • Develop and lead compliance training programs on AML, market conduct, insider trading, and regulatory best practices. • Promote a culture of compliance across all business areas. Legal & Governance Support • Assist with regulatory filings, contract negotiations, and compliance-related legal matters. • Work closely with external counsel and regulators. • Manage internal governance reporting and compliance board updates. Key Requirements Must-Have Experience: ✅ 5+ years in a senior compliance role within a hedge fund, asset manager, or financial institution. ✅ Expertise in both FCA and SEC regulations, with direct experience managing compliance frameworks for both jurisdictions. ✅ Strong knowledge of hedge fund structures, trading strategies, and regulatory frameworks for equity long/short and derivatives (futures & options). ✅ Experience leading compliance monitoring programs and regulatory reporting. ✅ Hands-on approach, with the ability to operate in a lean but high-performing team. Highly Desirable: ⭐ Experience with Dubai DFSA or CFTC regulations. ⭐ Legal background or exposure to contract law, regulatory law, and governance frameworks. ⭐ Familiarity with AML, KYC, and financial crime regulations. ⭐ Knowledge of SEC Form PF, CFTC filings, and cross-border compliance obligations. Culture & Work Environment • Fast-paced, entrepreneurial environment, ideal for compliance professionals who enjoy proactive problem-solving. • High level of autonomy – opportunity to take ownership of compliance functions. • Collaborative team, working closely with senior leadership. • Four days in the London office, with some flexibility for remote work. Compensation & Benefits 💰 Salary: £120,000 – £140,000 base 💰 Bonus: 25-30% discretionary bonus 📍 Office: London (4 days in-office) 🌍 Exposure to global compliance markets (UK, US, Dubai, CFTC) 📈 Opportunity to shape and enhance compliance frameworks in a leading hedge fund