Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT’s collaborative mindset which enables us to solve the most complex challenges. QRT’s culture of innovation continuously drives our ambition to deliver high quality returns for our investors.
We are looking for an experienced Central Compliance Officer.
Your future role at QRT
You will be joining a supportive Compliance function, where you will be responsible for:
Central Compliance Management:
Oversee the daily operation of the Core Compliance program, including Personal Account Dealing (PAD), Outside Business Interests (OBI), Conflicts of Interest, and Gifts and Entertainment policies. Investment and Due Diligence Support : Assist with the external manager programme and operational due diligence processes Employee Support : Provide advice, guidance, and support to QRT employees on central compliance-related queries. Policy and Procedure Advisory : Advise senior management, employees, and the compliance team on compliance arrangements, policies, and procedures, ensuring timely responses and updates. Onboarding and Offboarding Management:
Oversee weekly New Joiner and Leaver processes, including monitoring the completion of employee certifications for both new hires and existing staff periodically. Regulatory Submissions:
Support periodic and ad hoc UK and US regulatory filings and submissions. Regulatory Monitoring and Policy Enhancement:
Track regulatory developments and implement or refine internal central compliance policies and procedures as necessary. NFA Training and Registration : Administer training for NFA Associated Persons and manage NFA Principal registration processes. Governance and Reporting : Coordinate and produce monthly management information, including data submissions for governance and board committee meetings. Stakeholder Collaboration : Deliver mandated initiatives by collaborating with internal and external stakeholders. FCA Regulatory Updates : Assist with SMCR processes and maintain the FCA Directory by updating information on Certified Persons. Your present skillset Prior Core Compliance experience is essential. Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules. Previous experience in a Compliance role at a buy-side firm is desirable. Excellent verbal, interpersonal, and written communication skills are essential. Strong administrative skills. Confident and adaptable, and possess an eye for detail. Some team leadership experience is desirable but not essential. Demonstrate ability to collaborate and partner effectively with global teams. Promote and foster good conduct, culture, and employee engagement. Your Qualifications The ideal candidate will be educated to a degree level and hold relevant Compliance qualifications. IT literacy (MS Office, databases etc). QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.
#J-18808-Ljbffr
Oversee the daily operation of the Core Compliance program, including Personal Account Dealing (PAD), Outside Business Interests (OBI), Conflicts of Interest, and Gifts and Entertainment policies. Investment and Due Diligence Support : Assist with the external manager programme and operational due diligence processes Employee Support : Provide advice, guidance, and support to QRT employees on central compliance-related queries. Policy and Procedure Advisory : Advise senior management, employees, and the compliance team on compliance arrangements, policies, and procedures, ensuring timely responses and updates. Onboarding and Offboarding Management:
Oversee weekly New Joiner and Leaver processes, including monitoring the completion of employee certifications for both new hires and existing staff periodically. Regulatory Submissions:
Support periodic and ad hoc UK and US regulatory filings and submissions. Regulatory Monitoring and Policy Enhancement:
Track regulatory developments and implement or refine internal central compliance policies and procedures as necessary. NFA Training and Registration : Administer training for NFA Associated Persons and manage NFA Principal registration processes. Governance and Reporting : Coordinate and produce monthly management information, including data submissions for governance and board committee meetings. Stakeholder Collaboration : Deliver mandated initiatives by collaborating with internal and external stakeholders. FCA Regulatory Updates : Assist with SMCR processes and maintain the FCA Directory by updating information on Certified Persons. Your present skillset Prior Core Compliance experience is essential. Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules. Previous experience in a Compliance role at a buy-side firm is desirable. Excellent verbal, interpersonal, and written communication skills are essential. Strong administrative skills. Confident and adaptable, and possess an eye for detail. Some team leadership experience is desirable but not essential. Demonstrate ability to collaborate and partner effectively with global teams. Promote and foster good conduct, culture, and employee engagement. Your Qualifications The ideal candidate will be educated to a degree level and hold relevant Compliance qualifications. IT literacy (MS Office, databases etc). QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.
#J-18808-Ljbffr
