Job Description
Coopman Search and Selection are currently partnered with one of the most exciting global hedge funds who are looking to hire a Compliance Officer. The role will report in directly into the Compliance Director and form part of a larger team.
In this role you will be acting as the primary contact for any US Compliance regulatory matters, this position, plays a crucial part in providing guidance and ensuring adherence to applicable regulatory requirements, leading the US/UK periodic regulatory filing framework and the running of daily central and operational compliance activities
Key Responsibilities:
- Undertake all Central and Operations Compliance related activities
- Manage US regulatory framework
- Support External investment programme & Operational Due Diligence processes, including AML compliance
- Ensure relevant Compliance legal and regulatory obligations have been adhered to
- Operate Core Compliance programme on daily basis (PAD, OBI, Conflicts, Gifts and Entertainment)
- Providing advice, guidance and support to Employees in relation to any central and ops compliance related queries
- Organise & present Compliance Induction training
- Manage weekly New Joiner and Leaver processes, including but not limited to monitoring completion of employee certifications for new joiners and existing staff annually.
- Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA and other international regulatory bodies, in partnerships with Finance, Operations and Investors Relations teams
- Monitor regulatory developments, Implement and enhance internal Central and Operational compliance policies and procedures as required
- Administration of the NFA Associated Person training and NFA Principal registration processes
- Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population
Experience Required:
- Prior Central and/or Ops Compliance experience is essential
- Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules
- Previous experience in a Compliance role at a buy-side firm is desirable
- Excellent verbal, interpersonal, and written communication skills are essential
- Some team leadership experience is desirable but not essential
- Demonstrate ability to collaborate and partner effectively with global teams.
For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk
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