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    Senior Compliance Analyst - London, United Kingdom - Coopman Search and Selection

    Coopman Search and Selection
    Coopman Search and Selection London, United Kingdom

    3 hours ago

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    Description
    Job Description

    Coopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM.

    As a Senior Compliance Analyst you will be joining a business that is looking to expand and will be an integral part of the firm with exposure to a wide variety of business functions and activities at the firm.

    This is an excellent opportunity for a compliance analyst looking to progress into a more senior and broader compliance role. You will report into GC & CCO and will be responsible for generalist compliance activities covering both the UK & US.

    Key Responsibilities:

    • Assist the firm meet FCA and SEC regulatory compliance requirements
    • Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews
    • Review Compliance Manual and develop & maintain the firms Compliance Policies & Procedures
    • Test the compliance monitoring programme
    • Conduct telephone monitoring, email surveillance and expert network call chaperoning.
    • Assist with the preparation of SEC filings for submission (ADV Pt 1 & 2, Form PF, 13H/F/G, CFTC, Form D).
    • Manage the wall crossing and market sounding processes as well as shareholder disclosure requests
    • Review Marketing presentations
    • Assist the firm to compile compliance related responses for DDQs/Operational Due Diligences.
    • Oversee the firm's record keeping (Conflicts of Interest, OBIs, gifts & entertainment, breaches, training)

    Experience Required:

    • 1-3 years compliance experience within equity asset management environment
    • Exposure to regulatory markets, such as the US, Cayman and Ireland.
    • ComplianceAlpha or similar programme management tool preferred.
    • Experience with both FCA & US Marketing Rule requirements (Preferred)
    • An analytical & methodical mindset
    • Strong stakeholder management skills

    For a confidential discussion or for further information, please get in touch with

    As a Certified B CorporationTM, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.

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