Compliance Manager- Hedge Funds

THE COMPANY:

Our client is a specialist alternative asset manager, looking for a Compliance Manager to assist the COO in upholding the firm’s compliance monitoring program.

Please note, this role requires 5 days in the office.

THE RESPONSIBILITIES:

• Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations.
• Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment.
• Assess, monitor and manage regulatory risk and implement appropriate policies and procedures.
• Ensure the ICARA and risk register are maintained and regularly reviewed.
• Maintain MLRO reviews and financial crime oversight.
• Qualify prospective investors as professional clients.
• Review and approve marketing materials and other financial promotions.
• Provide compliance advice to the business development function including jurisdictional marketing rules.
• Prepare and submit non-financial regulatory filings.
• Coordinate AML/KYC requests from counterparties and investment entities.
• Ensure privacy and data protection rules are adhered to.
• Monitor staff training against regulatory requirements.
• Assist with legal matters, manage relationships with external counsel, and oversee legal budget and spend.
• Assist in monitoring and managing legal risk, implementing controls and mitigation strategies.
• Assist in establishing and maintaining an efficient UK company structure for regulated and non-regulated activities.
• Assist in overseeing fund entity governance, liaising with the fund board and company secretary.
• Ensure fund offering documents remain up-to-date and compliant.
• Advise on legal aspects of investor communications.
• Assist in drafting, reviewing, and negotiating legal documents (e.g., investment, counterparty, supplier agreements, and employment contracts).
• Assist with oversight of the staff handbook and HR policies/procedures.
• Assist in company secretary duties, including organizing board meetings and maintaining statutory records.

EXPERIENCE REQUIRED:

• Experience with NFA/CFTC and FCA rules (familiarity with MIFIDPRU/IPRU-INV a plus). Managed futures/options experience preferred.
• Awareness of onshore/offshore funds and associated regulatory considerations.
• Experience in compliance or legal support within financial services.
• Exposure to contract review and legal documentation.
• Ability to manage policy updates, record-keeping, and governance tasks.
• Strong liaison skills for internal/external stakeholder coordination

For further information please contact Spencer Evans