Company: Hedge Fund Entity
Job Title: Compliance Associate
Location: London, UK
Our client is a leading financial services firm dedicated to delivering innovative investment solutions and exceptional client service. With a strong focus on quantitative research and risk management, the client strives to provide their clients with unique investment strategies that generate consistent returns while managing risk effectively.
Primary responsibilities:
- Global positions monitoring and disclosures
- Market soundings and restricted list maintenance
- Approval and monitoring of expert network calls
- Surveillance and testing
- Thematic monitoring reviews
- Code of Ethics employee compliance
- SMCR compliance administration
- Front office advisory
- Regulatory developments horizon scanning
- Review and update of policies and procedures
- Compliance training
- Regulatory filings
- Projects
Requirements:
- Graduate (undergraduate degree or equivalent)
- Proven UK financial services compliance experience (5-8 years); preferably with prior disclosures and testing experience
- Good attention to detail
- Good analytical skills
Skills / Knowledge:
- Working knowledge of global shareholding / position disclosures, MiFID II, UK/ EU market abuse regime and FCA COBS
- Good computer/ system skills
- Ability to work independently to complete tasks in a timely manner
- Excellent communication skills
- Foreign language skills welcome (French, Spanish, Portuguese
