Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

4 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

ROLE OVERVIEW


In the role of Compliance Officer - Generalist in the London Office, the employee will report to the firm's Director of Compliance in London and work closely with the firm's global Compliance staff.

The position will assist the firm's Director of Complianceand Global Compliance staff with its UK and EU compliance efforts and all regulatory matters for the London office of a global Hedge Fund Manager.


The responsibilities include providing compliance oversight of the firms Code of Ethics & Compliance Monitoring Program, advising the firm and its staff on regulatory matters, carrying out reviewing and monitoring of all core compliance matters, maintaininga strong compliance presence within the London office and fostering good culture.

The position will require someone who can work directly with and provide compliance counsel to all investment and non-investment staff.

In the role of Compliance Officer - Generalistin the London office, the employee will be responsible for the following:


  • Review and implementation of the firms Compliance Monitoring Program
  • Advising members
  • Carrying out daily review and monitoring of the firms Code of Ethics program
  • Assisting the team in compliance onboarding, new hire and annual compliance trainings
  • Reviewing and approving personal trade requests through the firm's internal compliance system
  • Responsible for carrying out vetting of broker request as well as research providers, conducting due diligence of the requests and working with the business and vendors
  • Partner with the business to review any event, meeting and corporate access requests and any other requests that require review and approval from compliance from the front office
  • Coordinate, track and send out quarterly compliance certifications, review responses
  • Maintain internal controls in order to detect violations of company policies and procedures
  • Preparation and completion of various regulatory filings as it pertains to personal account dealing
  • Assist with educating investment and noninvestment staff on compliance related matters and enforcing compliance policies

QUALIFICATIONS & REQUIREMENTS:


  • Experience handling Code of Ethics and Personal Trading requests
  • Experience with the commodities markets is a plus

EDUCATION, TRAINING & EXPERIENCE:


  • 23+ years of Compliance experience
  • 4 year Bachelor's degree
  • Star Compliance experience is a plus
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