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General compliance oversight of the LLP and funds.
Ensure proper compliance systems, procedures and record-keeping are maintained to a high standard and are updated in line with regulatory developments/changes in the business; this will include the regular review and maintenance of the firm's compliance manual and compliance policies and procedures.
Maintain, and ensure the proper application of, the firm's policies and procedures in respect of material non-public/inside information.
Responsibility for on-going regulatory filings, including GABRIEL filings, Annex IV, NFA self-assessment, SEC Form ADV, etc.
Oversight of the firm's regulatory reporting, e.g. short sell reporting, EMIR.
Ensure robust framework is in place to adhere to FCA and SEC requirements.
Oversight of anti-money laundering and financial crime safeguards
Maintain compliance registers, including in respect of personal account dealing and gifts and entertainment.
Develop and maintain regulatory rules in the firm's OMS/PMS.
Undertake compliance monitoring of the business.
Provide regular compliance training for members of staff.
A good degree preferably in law or finance.
At least five years relevant experience in a hedge fund or in compliance consulting.
Extensive experience of the FCA regulatory framework, and particularly AIFMD and MiFID requirements.
Able to demonstrate strong knowledge of SEC regulatory environment and other various traded markets.
Proficient in the use of Microsoft office (esp. Excel).
Ability to apply meticulous attention to detail in high pressure situations
Good communication skills.
Commitment, team orientation and common sense are essential.
Hours: 15-20 hours per week – specific working week to be agreed with the successful candidate.
Compensation: competitive salary + bonus eligibility. (Please note only successful candidates will be notified on receipt).