Compliance Manager (Part Time)

THE COMPANY:

Our client is a specialist boutique UK hedge fund, seeking a part time Compliance Manager (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 regulations, SEC regulations, and other relevant financial regulations
• Develop, implement, and maintain compliance policies and procedures in line with industry best practices for both jurisdictions
• Keep up to date with regulatory developments in both the UK and US, assessing their impact on the firm and implementing necessary changes
• Conduct regular compliance monitoring and risk assessments to identify and mitigate potential risks
• Provide support across a variety of compliance initiatives, including Code of Ethics, cybersecurity, electronic communication surveillance, vendor due diligence, and updating and testing compliance procedures
• Operate the core Compliance program daily, including Personal Account Dealing (“PAD”), Outside Business Interests (“OBI”}, Conflicts of Interest (“COi”), Gifts and Entertainment(“G&E”)
• Monitor the operations team’s daily compliance processes, particularly short and long disclosures
• Maintain compliance records and registers and prepare reports for senior management.
• Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA, and other international regulatory bodies, in conjunction with other business areas
• Assist with legal document reviews and contract negotiations
• Provide compliance training and guidance to staff, ensuring awareness and understanding of regulatory obligations

EXPERIENCE REQUIRED:

• Strong knowledge of FCA and SEC regulations, with experience managing compliance for firms operating in both jurisdictions
• Experience with Steeleye would be 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