hybridge are currently representing a leading multi-asset, multi-strategy hedge fund based in London, with offices in the US & Asia. They are seeking to hire an experienced buy side/hedge fund compliance professional to join a team of 3 to support the Head of Compliance and perform a generalist role.
Duties and responsibilities will include
- Conduct of Business rules relevant to the investment management process: best execution, transaction record keeping, telephone taping, transaction reporting.
- Transparency Directive, EU Short Selling disclosure monitoring.
- Code of Ethics/conflicts of interest: personal account dealing, gifts and entertainment, outside business interests.
- Approved Person registration, fitness and propriety checks
- Application of Anti-Money Laundering and Anti-Corruption Policies to portfolio companies, joint ventures and third party consultants.
- Assessment of information that may constitute inside information; oversight of information barriers and restricted list accordingly
- Review of the firm's trading activity for patterns of perceived market abuse.
- Use of dealing commission and oversight of broker voting process.
- Electronic communication and recorded line surveillance.
- Monitoring of upcoming UK / EU regulatory issues, including preparation for MiFID II.
Candidate Requirements :
- 2 years compliance experience gained within a reputable buy side firm.
- A strong understanding of FCA regulations that apply to a buy side/alternative asset firms.
- The ability to manage and prioritise multiple tasks.
