UK Compliance Associate

Executive Recruiter at JW Michaels & Co.

U.S. based long/short hedge fund is looking to grow their London office! Seeking a junior/mid level compliance associate to be the main compliance resource for that office. Reporting into the GC/CCO and DCCO who reside in the U.S.

Ideally looking at 2-5yrs experience. Investment management compliance. Long/short exp is a plus!

Responsibilities

• Assist with various compliance functions including supporting European long and short disclosure filing, other regulatory filings and code of ethics and compliance manual implementation.
• Conduct due diligence on alternative data and research providers.
• Monitor firm trading activity to ensure compliance with U.S. ownership reporting obligations, European short selling reporting laws, as well as to detect suspicious activity and trade errors.
• Monitor electronic communications.
• Supervise use of expert networks firms.
• Serve as a point of contact with UK based investment personnel on legal and regulatory matters (e.g. questions pertaining to MNPI, securities filings).
• Assist with maintaining compliance rules in trading system.

Qualifications

• Top educational credentials.
• 2-5 years of related compliance experience from either a hedge fund or other investment manager.

Seniority level

Associate

Employment type

Full-time

Job function

Finance

Industries

Financial Services and Investment Management

Location: London, England, United Kingdom