Compliance Officer

2 weeks ago

London, United Kingdom One Ten Associates Full time

We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer.

This role will be generalised, duties include:

  • Provide regulatory advice to the trading teams across multiple asset classes (Equities, Fixed Income, Derivatives)
  • Provide advice on regulatory rules (FCA, SEC, NFA and CFTC)
  • Compliance monitoring and surveillance (market abuse, best execution)
  • Draft, update & implement policies/procedures
  • Regulatory reporting/filings (UK and US)

The ideal candidate will have:

  • Circa 5-8+ years experience within a hedge fund, prop trader or investment bank
  • Experience of providing regulatory advice to trading/investment teams
  • If from an Investment Bank, ideally from a trading floor compliance advisory role

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