Head of Compliance - Quantitative Investment Manager Head of Compliance - Quantitative Investment  …

Pure Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Negotiable
Pure Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Negotiable
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.

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