Compliance Manager

Coopman Search and Selection are delighted to be partnering with a leading multi-strategy hedge fund who have circa $10 billion AUM who are looking hire a Compliance Associate. This role will report directly into CCO.

In this role you will be responsible for supporting the existing members of the London Compliance team. This person will be a key contributor in the day to day running of the compliance programme and also be involved in refining, improving and augmenting it as they grow.

Key Responsibilities:

• Contributing to a comprehensive compliance monitoring program for our UK FCA regulated entity
• Supporting the UK Head of Compliance in developing a compliance framework to support new products & new markets
• Senior Managers and Certification Regime compliance, including associated recordkeeping, regulatory filings and managing the ‘fit and proper’ certification process
• Monitoring MiFID 2 research and corporate access, and preparing materials for Research Committee meetings
• Recordkeeping relating to best execution monitoring
• Market sounding / wall crossing process, including associated recordkeeping
• Share disclosure monitoring and filings
• Trade release process
• Expert network chaperoning
• Gifts and Entertainment monitoring
• Compiling and updating KYC materials

Experience Required:

• 5+ years compliance experience within the asset management environment
• Experience across multiple asset classes
• Experience with both FCA & SEC regulator preferred
• Ability to work in a fast paced & demanding environment
• Able to build strong relationships

For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk

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