Regulatory Affairs

3 months ago


United Kingdom Coopman Search and Selection | B Corp™ Full time

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

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
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
wood@coopman.As a Certified B Corporation™, we take a different approach to how we do business. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.”



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