Coopman Search and Selection are currently partnered with one of the most exciting global hedge funds who are looking to hire a Compliance Officer. The role will report in directly into the Compliance Director and form part of a larger team. In this role you will be acting as the primary contact for any US Compliance regulatory matters, this position, plays a crucial part in providing guidance and ensuring adherence to applicable regulatory requirements, leading the US/UK periodic regulatory filing framework and the running of daily central and operational compliance activities Key Responsibilities: Undertake all Central and Operations Compliance related activities Manage US regulatory framework Support External investment programme & Operational Due Diligence processes, including AML compliance Ensure relevant Compliance legal and regulatory obligations have been adhered to Operate Core Compliance programme on daily basis (PAD, OBI, Conflicts, Gifts and Entertainment) Providing advice, guidance and support to Employees in relation to any central and ops compliance related queries Organise & present Compliance Induction training Manage weekly New Joiner and Leaver processes, including but not limited to monitoring completion of employee certifications for new joiners and existing staff annually. Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA and other international regulatory bodies, in partnerships with Finance, Operations and Investors Relations teams Monitor regulatory developments, Implement and enhance internal Central and Operational compliance policies and procedures as required Administration of the NFA Associated Person training and NFA Principal registration processes Assist with SMF applications to the FCA and updating the FCA Directory with changes to the Certified Persons population Experience Required: Prior Central and/or Ops Compliance experience is essential Hold strong regulatory knowledge relating to CFTC/NFA, SEC and FCA rules Previous experience in a Compliance role at a buy-side firm is desirable Excellent verbal, interpersonal, and written communication skills are essential Some team leadership experience is desirable but not essential Demonstrate ability to collaborate and partner effectively with global teams. 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.”
