Job Description
Compliance Officer London Alternative Investment Fund Manager £100k - £150k PLUS bonus About the Firm: Our client is a globally recognised boutique investment management firm specialising in alternative investment strategies, including discretionary global macro strategies. With offices across Europe, the USA, Asia, and the UAE, the firm manages a diverse portfolio of assets for a sophisticated client base. Known for its commitment to regulatory excellence and a robust compliance framework, this is an exciting opportunity to join a collaborative team in a dynamic and fast-paced environment. The Opportunity: We are seeking a Compliance Officer for a generalist role that will support the firm’s global compliance framework. The successful candidate will work closely with senior compliance professionals to navigate complex regulatory landscapes, ensure adherence to global financial regulations, and foster a culture of compliance across all jurisdictions. This role is ideal for candidates with a strong understanding of the U.S. Securities and Exchange Commission (SEC), Financial Conduct Authority (FCA), and other regulatory authorities. Key Responsibilities: Regulatory Compliance: Ensure compliance with U.S., European, UK, and Asia-Pacific regulations, including SEC, FCA, CFTC, NFA, MAS, and other relevant authorities. Stay up-to-date with regulatory developments and their potential impact on the firm’s operations. Global Regulatory Filings: Prepare and manage filings such as Form ADV, Form PF, Form D (SEC), EMIR reporting (EU/UK), and any regional filings required under MAS or other regulatory bodies. Policy Development and Monitoring: Develop, implement, and update compliance policies and procedures to align with regulations such as the Investment Advisers Act of 1940, Dodd-Frank Act, AIFMD, MiFID II, GDPR, UK AIFMD, and EMIR. Conduct ongoing monitoring to ensure alignment with global regulatory requirements. Derivatives and Risk Management: Monitor compliance with derivatives regulations under the Commodity Exchange Act (CEA), EMIR, and UK EMIR, including OTC derivatives reporting, clearing, and risk mitigation requirements. Sanctions Compliance: Ensure compliance with global sanctions regimes, including OFAC and relevant international standards, and conduct due diligence to mitigate exposure to sanctioned entities. Training and Awareness: Develop and deliver compliance training for employees across global offices to ensure consistent understanding of key compliance requirements. Regulatory Audits and Examinations: Support regulatory audits and examinations, including preparing documentation and responding to inquiries from the SEC, FCA, MAS, and other regulators. Cross-Border Compliance Advisory: Act as a resource for internal teams on jurisdiction-specific compliance matters, including client onboarding, marketing, and investment strategy implementation. Qualifications and Skills: Bachelor’s degree in finance, law, business, or a related field. 5+years of compliance experience in investment management, hedge funds or private equity. Strong knowledge of regulations including: U.S.:
SEC (Investment Advisers Act of 1940), CFTC/NFA (Commodity Exchange Act), Dodd-Frank, OFAC. EU/EEA:
AIFMD, MiFID II, EMIR, GDPR. UK:
FCA (COBS, SM&CR), UK AIFMD, UK EMIR. Asia:
MAS (Securities and Futures Act). Experience with regulatory filings and compliance monitoring systems. Exceptional attention to detail, analytical skills, and problem-solving abilities. Strong written and verbal communication skills with the ability to convey complex regulatory topics clearly. Proactive and adaptable, with the ability to manage multiple priorities in a fast-paced environment.
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Compliance Officer London Alternative Investment Fund Manager £100k - £150k PLUS bonus About the Firm: Our client is a globally recognised boutique investment management firm specialising in alternative investment strategies, including discretionary global macro strategies. With offices across Europe, the USA, Asia, and the UAE, the firm manages a diverse portfolio of assets for a sophisticated client base. Known for its commitment to regulatory excellence and a robust compliance framework, this is an exciting opportunity to join a collaborative team in a dynamic and fast-paced environment. The Opportunity: We are seeking a Compliance Officer for a generalist role that will support the firm’s global compliance framework. The successful candidate will work closely with senior compliance professionals to navigate complex regulatory landscapes, ensure adherence to global financial regulations, and foster a culture of compliance across all jurisdictions. This role is ideal for candidates with a strong understanding of the U.S. Securities and Exchange Commission (SEC), Financial Conduct Authority (FCA), and other regulatory authorities. Key Responsibilities: Regulatory Compliance: Ensure compliance with U.S., European, UK, and Asia-Pacific regulations, including SEC, FCA, CFTC, NFA, MAS, and other relevant authorities. Stay up-to-date with regulatory developments and their potential impact on the firm’s operations. Global Regulatory Filings: Prepare and manage filings such as Form ADV, Form PF, Form D (SEC), EMIR reporting (EU/UK), and any regional filings required under MAS or other regulatory bodies. Policy Development and Monitoring: Develop, implement, and update compliance policies and procedures to align with regulations such as the Investment Advisers Act of 1940, Dodd-Frank Act, AIFMD, MiFID II, GDPR, UK AIFMD, and EMIR. Conduct ongoing monitoring to ensure alignment with global regulatory requirements. Derivatives and Risk Management: Monitor compliance with derivatives regulations under the Commodity Exchange Act (CEA), EMIR, and UK EMIR, including OTC derivatives reporting, clearing, and risk mitigation requirements. Sanctions Compliance: Ensure compliance with global sanctions regimes, including OFAC and relevant international standards, and conduct due diligence to mitigate exposure to sanctioned entities. Training and Awareness: Develop and deliver compliance training for employees across global offices to ensure consistent understanding of key compliance requirements. Regulatory Audits and Examinations: Support regulatory audits and examinations, including preparing documentation and responding to inquiries from the SEC, FCA, MAS, and other regulators. Cross-Border Compliance Advisory: Act as a resource for internal teams on jurisdiction-specific compliance matters, including client onboarding, marketing, and investment strategy implementation. Qualifications and Skills: Bachelor’s degree in finance, law, business, or a related field. 5+years of compliance experience in investment management, hedge funds or private equity. Strong knowledge of regulations including: U.S.:
SEC (Investment Advisers Act of 1940), CFTC/NFA (Commodity Exchange Act), Dodd-Frank, OFAC. EU/EEA:
AIFMD, MiFID II, EMIR, GDPR. UK:
FCA (COBS, SM&CR), UK AIFMD, UK EMIR. Asia:
MAS (Securities and Futures Act). Experience with regulatory filings and compliance monitoring systems. Exceptional attention to detail, analytical skills, and problem-solving abilities. Strong written and verbal communication skills with the ability to convey complex regulatory topics clearly. Proactive and adaptable, with the ability to manage multiple priorities in a fast-paced environment.
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