Compliance Officer - London, United Kingdom - Caxton Associates

Caxton Associates
Caxton Associates
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

We are currently looking to hire a generalist compliance professional in our London office reporting to the Global Chief Compliance Officer.

The role is to work with the Legal & Compliance team to ensure we are running a best in practice global compliance program.


Principal Responsibilities:


  • Play a key role in the management and coordination of the global compliance program
  • Conduct global monitoring and surveillance activities
  • Provide strategic input into the Global compliance framework, including the structuring and automating of key processes and controls
  • Collaborate with other members of the Compliance team in relation to policies and procedures on a global basis
  • Collaborate with other members of the Compliance team in relation to compliance issues on a global basis
  • Ensure that appropriate compliancerelated management information is produced at appropriate intervals
  • Lend your skills to projects across the Legal & Compliance team and/or Firm when needed
  • Work closely with others across the Firm to establish an appropriate compliance culture

Requirements:


  • 5 7 years' experience acting as a compliance generalist within an investment management / hedge fund / trading firm
  • Strong understanding and practical experience of regulatory frameworks
  • Ability to work both independently and seamlessly as part of a crossjurisdictional team essential
  • Proven judgement in understanding and managing regulatory risks
  • Highly organized with strong attention to detail, with the ability to multitask and meet tight deadlines
  • Excellent communication and presentation skills, in person and in writing
  • Extensive experience in trade, communications surveillance program development, implementation and operation
  • Strong trading/order management systems knowledge
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