- 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)
- 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
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Senior Compliance Analyst - City of London, Greater London, United Kingdom - Coopman Search and Selection
Description
Coopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM.
To be considered for an interview, please make sure your application is full in line with the job specs as found below.
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:
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.
