Senior Compliance Associate (Hedge Fund, Regulatory)

London, UK
16 Sep 2019
02 Oct 2019
Contract Type
Full Time
I'm looking for a highly motivated Compliance individual to join a Hedge Fund based in London.

The roles is to support the CCO and UK Compliance Manager in running a compliance program for the group which includes entities regulated by the JFSC, SEC, CFTC, FINMA, FCA and MAS and to act as a point of contact for employees on day-to-day regulatory matters.

Duties include:

• Contributing to the establishment and operation of the Compliance Programe liaising with the Senior Management and advising on relevant regulatory matters and good practice within the industry, in order to ensure that the client maintains its robust business control framework.

• Supporting and working with Compliance Officers employed by other members of the Group in other jurisdictions to ensure global compliance across the Group with all applicable laws, regulations and policies.

Specific duties:

• Overseeing the provision of comprehensive advisory, monitoring and control services to entities.

• Maintaining the various regulatory registers such as Breaches / Complaints etc..

• Maintaining, and improving where required, the Compliance Monitoring Programme and Business Risk Assessment and reporting the results to the Board in a timely manner.

• Oversight of AML related matters such as sanction screening process and reporting on matters arising or omissions and remediation as required.

• To review customer due diligence and sign off in relation to the existing customers 'routine review cycle.

• To review and sign off 'new customer' due diligence and 'trigger event' customer due diligence as required.

• Maintaining robust risk reviews on processes.

• Ensuring that any regulatory action points are efficiently brought to the Senior Management's attention and that timely progress is made to address / resolve them.

• Monitoring and update of internal policies and procedures and controls ensuring consistency within the operation of the business with group standards and any regulatory obligations.

• Managing the assessment and acceptance of new business.

• Encouraging and supporting a compliance culture within the offices.

• Maintaining a thorough awareness of industry best practice and developments in relation to applicable regulatory laws/guidance, (both locally and internationally), including AML obligations.

• Ensuring that the Senior Management's is kept apprised of industry best practice and any such developments and changes in regulatory requirements/guidance, and that internal procedures are devised / adapted as required.

• Maintaining the Procedures / Compliance Manuals, ensuring that all staff are and remain aware of internal procedures / obligations.

• Attending as required, multi-jurisdictional compliance meetings and ensuring that all action points are followed up and dealt with as appropriate.


•At least two years' experience in a compliance role.

•Experience within an asset management environment is strongly preferred.

•Exposure to other regulatory markets, such as the Jersey, the USA, Singapore or Switzerland is advantageous.•

Excellent communication skills and the ability to interact with all staff at all levels.•Strong organisational skills and the ability to manage a range of competing priorities and projects to tight deadlines.•An analytical and methodical mind.•Proficient in MS Office software.

Educational & Professional Qualifications

* Educated to degree (or equivalent) level or higher, preferably from a leading university;

* A relevant professional qualification, such as ICA International Diploma in Compliance

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