A Quantitative / Systematic and Multi-Asset Investment firm is currently looking for their first, dedicated Head of Compliance to build out a compliance framework.
Responsibilities will include, but not be limited to:
- Building and managing the overall compliance program inclusive of regulatory requirements such as AIFMD and ongoing regulatory risk assessment and related testing activities.
- Complete necessary regulatory filings and engage with FCA, SEC and CFTC, where necessary.
- Providing training as well as regulatory and policy advice to business partners, as needed.
- Deliver AML/Financial Crime requirements including oversight of third parties and monitor the administrators in relation to the AML for the funds managed.
- Oversee trade error analysis, resolution, documentation, and reporting.
- Reviewing marketing materials and providing support for cross-border marketing.
Desirable Skills and Experience Include:
- Experience of senior regulatory or compliance-related experience, with demonstrated expertise in investment and derivatives regulation, trading, products, distribution and related issues.
- Proven track record of interfacing with senior management across various business areas, including presentations and ad-hoc advice.
- Preferred experience in trading oversight, particularly guideline and regulatory monitoring.
- Additional experience of identifying risks and developing appropriate control processes.