Coopman Search and Selection are delighted to partner exclusively with a leading quantitative investment firm focussed on systematic trading strategies in global markets. The role will report in directly into the global CCO who is based in the US and work closely with the GC & trading teams. This is a newly created role to support their growth in the UK and will see you lead the UK the compliance function through an FCA application along with the development of applicable compliance procedures & surveillances. You will also support other aspects of the firms compliance program including regulatory submissions, training, surveillance and policy implementation. Key Responsibilities: Take a leading role in preparation the Firm’s FCA application and development of related procedures, surveillance and regulatory submissions. Supervise counsel and external advisors that assist you in the preparation of the application. Provide support across a variety of compliance initiatives including: Code of Ethics, regulatory filings, cybersecurity, electronic communication surveillance, artificial intelligence due diligence, alternative data due diligence, trade surveillance, vendor due diligence, and updating and testing of compliance procedures, in conjunction with the Chief Compliance Officer. Ability to efficiently interact with other departments and senior management of the Firm Develop proficiency with the Firm’s suite of compliance tools including Bloomberg Vault, ComplySci, FundApps, and OneTick. Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks. Subject matter excellence in ongoing regulatory developments and industry trends that are relevant to the Firm. Experience Required: 6+ years of experience as a compliance professional or a lawyer within the financial services industry is advantageous. Strong interest and willingness to develop expertise in legal, regulatory and compliance matters in the alternative investment industry. Excellent communication and interpersonal skills with the ability to exercise discretion and sound judgment with respect to highly confidential/sensitive information. Demonstrated work ethic and time management skills to manage multiple projects with a strong sense of urgency. Ability to adapt and thrive in a fast-paced, collaborative environment. For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.”
