Our client is a specialist boutique UK hedge fund, seeking a part time Head of Compliance (to work 3 days a week). The ideal candidate will have SEC exposure.
THE RESPONSIBILITIES:
Oversee and manage the firm’s compliance framework, ensuring adherence to FCA, SEC, and other relevant regulations
Position Compliance as a Second Line of Defence, focusing on control, oversight, and monitoring
Ensure regulatory, statutory, and fiduciary obligations are met, and enhance the quality and frequency of compliance reporting to the Partnership
Keep up to date with regulatory developments in the UK and US, including AIFMD 11, assessing their impact and implementing necessary changes
Update policies and procedures to reflect evolving regulatory expectations
Lead preparation for the SEC new entrant examination in collaboration with external consultants
Manage periodic and ad hoc regulatory filings with the SEC, CFTC/NFA, and other international regulatory bodies, in conjunction with other business areas
Operate core compliance programs including PAD, OBI, COi, and G&E. Maintain compliance records and registers related to these programs
Monitor the operations team’s daily compliance processes, particularly short and long disclosures
Conduct regular compliance monitoring and risk assessments to identify and mitigate potential risks
Participate in internal committees where compliance input adds value
Provide compliance training and guidance to staff, ensuring awareness and understanding of regulatory obligations
Leverage strong governance and compliance practices as a competitive edge with investors
EXPERIENCE REQUIRED:
Strong knowledge of FCA and SEC regulations, with experience managing compliance for firms operating in both jurisdictions
Familiarity with Steeleye is beneficial
Trustworthy, loyal, humble and honest. A self-motivated, go-getter
Strong self-motivated work ethic willing to take ownership of work product
Strong attention to detail with demonstrated ability to deliver on a timely basis and be highly responsive
Effective communicator with track record of problem solving with limited direction
Emotional maturity and professionalism
Strong academic record
For further information please contact Spencer Evans
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