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For Companies At a Glance
- Tasks: Lead compliance efforts, ensuring adherence to FCA and SEC regulations across multiple jurisdictions.
- Company: Join a top hedge fund known for its dynamic and entrepreneurial culture.
- Benefits: Enjoy a competitive salary, discretionary bonuses, and flexible remote work options.
- Why this job: Make a significant impact on compliance frameworks while collaborating with senior leadership in a fast-paced environment.
- Qualifications: 5+ years in compliance within hedge funds, with expertise in FCA and SEC regulations required.
- Other info: Work four days in the London office, with opportunities for global exposure.
The predicted salary is between 96000 - 108000 £ per year.
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
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Senior Compliance Officer employer: JobsBatch
Contact Detail:
JobsBatch Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Make sure to stay updated on the latest FCA and SEC regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance, which is crucial for this role.
✨Tip Number 2
Network with professionals in the hedge fund and asset management industry. Attend relevant conferences or webinars to connect with others who are already in compliance roles, as they can provide valuable insights and potentially refer you to opportunities.
✨Tip Number 3
Highlight any experience you have with compliance training programs. Being able to show that you can develop and lead training initiatives will set you apart, as fostering a strong internal compliance culture is a key responsibility of this position.
✨Tip Number 4
Prepare to discuss specific compliance challenges you've faced in previous roles, especially those related to multi-jurisdictional regulations. This will showcase your problem-solving skills and your ability to navigate complex compliance landscapes.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Senior Compliance Officer position. Familiarize yourself with FCA and SEC regulations, as well as the specific compliance frameworks mentioned in the job description.
Tailor Your CV: Customize your CV to highlight your relevant experience in compliance within hedge funds or asset management. Emphasize your expertise in FCA and SEC regulations, and any experience you have with regulatory reporting and compliance monitoring.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the regulatory landscape. Mention specific examples of how you've successfully managed compliance frameworks and contributed to a strong internal compliance culture.
Highlight Relevant Skills: In your application, be sure to highlight key skills such as risk management, advisory capabilities, and your ability to stay ahead of regulatory developments. This will demonstrate your readiness to take on the challenges of the role.
How to prepare for a job interview at JobsBatch
✨Showcase Your Regulatory Knowledge
Make sure to demonstrate your deep understanding of FCA and SEC regulations during the interview. Be prepared to discuss specific compliance frameworks you've developed or enhanced in previous roles, as this will highlight your expertise and suitability for the position.
✨Discuss Multi-Jurisdictional Experience
Since the role involves compliance across multiple jurisdictions, share examples of your experience managing compliance in different regulatory environments. Highlight any work you've done with DFSA or CFTC regulations, as this will set you apart from other candidates.
✨Emphasize Your Advisory Skills
The role requires providing strategic compliance guidance to senior management and trading desks. Prepare to discuss how you've successfully advised teams on compliance risks and best practices in the past, showcasing your ability to communicate complex regulatory matters effectively.
✨Promote a Culture of Compliance
Be ready to talk about how you've fostered a strong internal compliance culture in your previous roles. Discuss any training programs you've developed or led, and how you've engaged teams in compliance initiatives to ensure everyone understands their responsibilities.
