CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The successful candidate will have responsibility for compliance within the firm. As this is a small firm, there is a mix of higher-level and hands-on work, so applicants should have experience of operating in a similar environment or be ready to step into a role where this is required.
It is envisaged that once you are settled into the firm, you will take on the controlled functions (CF10 & 11). The firm is also SEC regulated, so you will also take on responsibility for related compliance work.
This is a varied role where you will always be challenged in different ways. Responsibilities include (but are not limited to):
Possess and maintain solid knowledge of UK and US laws and regulations
Manage relationships with regulators (FCA & SEC) and auditors
Ensure that the compliance manual and associated policies remains current
Provide compliance training, as required, throughout the firm
Deliver meaningful and practical regulatory advice to colleagues
Design and update the monitoring program
Conduct a planned series of monitoring on a regular basis
Ensure that any material issues are raised with the board
Maintain all relevant records (PA dealing, G&E, etc)
Ensure that all employees/partners are registered correctly with the FCA
Prepare the firm's ICAAP
Ensure sufficient capital is in place to meet capital requirements
Assist with other ad hoc duties as specified from time to time
Complete all relevant reporting and forms in a timely fashion
Quarterly regulatory issues report (CEO and Executive Committee)
Periodic FCA returns and annual fee schedule
Periodic update of SEC forms (ADV1, ADV2 Form PF, Form D)
Any new FCA approvals, change of permissions, etc
Quarterly AIFMD reporting
Key Experience & Skills
A proven track record in compliance gained on the buy-side
Possess solid UK and US regulatory knowledge
Institutional as opposed to retail compliance experience
Currently or have recently held the CF10 & 11, or operated at a similar level.
A solid understanding of Equities
Previous experience and of working in a boutique firm, or a desire to move into that environment
Demonstrate integrity and clarity of thought in decision-making
Possess strong inter-personal skills
Drive to work to the highest standards
Able to deliver on own workload whilst operating effectively as part of a small team