Legal Risk and Compliance Officer

3 weeks ago


London, United Kingdom Caxton Investments Llp Full time

About Caxton:
Caxton Associates, founded in 1983, is a global trading and investment firm with offices in London, New York, New Jersey, Monaco, and Singapore. Our primary business is to manage client and proprietary capital through global macro hedge fund strategies. Assets are managed via a broad mandate to trade in a variety of global markets and instruments.
The firm's portfolio management teams engage in a diverse set of investment strategies spanning all asset classes, products, and geographies.
About the Role:
We have an opportunity to hire a talented compliance professional, reporting directly to the Chief Compliance Officer (“CCO”). The position has a broad remit, and is best suited to individuals who are driven, enjoy a varied, hands-on role in a fast-paced and intellectually stimulating environment.
Responsibilities:

Play a pivotal role in managing and coordinating the global compliance programme.
Operate both independently and seamlessly as part of a cross-jurisdictional team.
Execute global monitoring and surveillance activities as assigned by the CCO.
Provide strategic input into the Global Compliance framework, including structuring and automating key processes and controls.
Collaborate with other members of the Compliance team on policies, procedures, and global compliance issues.
Contribute your skills to projects within the Legal & Compliance team and/or Firm as required.
Work closely with colleagues across the Firm to cultivate an appropriate compliance culture.

Ideally, candidates will possess 5+ years’ experience as a compliance generalist in a hedge fund, trading firm, or investment management firm.
Strong understanding and practical experience of regulatory frameworks, with a focus on the UK and US.
Proven ability to exercise judgement in comprehending and managing regulatory risks.
Highly driven, organised, and detail-oriented, capable of multitasking and meeting tight deadlines.
Excellent communication and presentation skills, both verbal and written.
Experience in implementing and operating trade and communications surveillance programmes.
Highly dependable and committed to upholding the highest professional and ethical standards.
#J-18808-Ljbffr



  • Old Street, Greater London, United Kingdom AJ Fox Compliance Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations...

  • Legal Risk

    2 days ago


    London, United Kingdom Hobbs Legal Recruitment Full time

    Our client who are a small specialist boutique law firm based in South West London are keen to add a new Paralegal to the firms' conveyancing team. Managing the onboarding of suppliers, including co-ordinating the process and liaising with the contract owner, lawyer, and the data protection and information security specialists involved Conducting legal...

  • Legal Risk

    1 day ago


    London, United Kingdom Hobbs Legal Recruitment Full time

    Our client who are a small specialist boutique law firm based in South West London are keen to add a new Paralegal to the firms' conveyancing team. Managing the onboarding of suppliers, including co-ordinating the process and liaising with the contract owner, lawyer, and the data protection and information security specialists involved Conducting legal...

  • Head of Risk

    7 days ago


    London, United Kingdom AJ Fox Compliance Full time

    We are working with a fantastic, fast-growing independent UK law firm to hire a Head of Risk & Compliance to join their team in London. This position will be responsible for the firm’s compliance and risk management frameworks. There will also be the opportunityto take on the titles of COLP, COFA, and MLRO. Key roles and responsibilities will include: -...

  • Senior Risk

    3 weeks ago


    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...

  • Senior Risk

    3 weeks ago


    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...


  • London, United Kingdom AJ Fox Compliance Full time

    We are working with a fantastic UK law firm to hire a Risk & Compliance Manager. In this position, you will manage the firm’s regulatory compliance and professional risks, and lead and advise the wider team. This is an excellent opportunity to get involvedin a wide range of risk and compliance activities, focusing on embedding risk and compliance into the...

  • Junior Risk

    2 weeks ago


    London, United Kingdom Career Legal Full time

    In-House Regulation & Conduct Lawyer (Compliance Lawyer) Magic Circle Law Firm London, 3 Days in London Per Week My client, a magic circle law firm, is actively recruiting for an experience Compliance/Risk & Compliance Lawyer to join the firm on a permanent basis in their London office - working as their new In-House Regulation & Conduct Lawyer. The...

  • Junior Risk

    2 weeks ago


    London, United Kingdom Career Legal Full time

    In-House Regulation & Conduct Lawyer (Compliance Lawyer) Magic Circle Law Firm London, 3 Days in London Per Week My client, a magic circle law firm, is actively recruiting for an experience Compliance/Risk & Compliance Lawyer to join the firm on a permanent basis in their London office - working as their new In-House Regulation & Conduct Lawyer. The...


  • London, United Kingdom American International Group Full time

    Join us as a Compliance Officer , with a focus on sanctions and financial crime. Syndicate 1183 underwrites a number of classes of business including war and terrorism, energy, marine, financial lines, cyber, transport, political risk, crisis management, kidnap and ransom, contingency and property. S. ultra-high net worth personal lines business. Through...

  • Compliance Officer

    3 days ago


    London, United Kingdom Audit and Risk Recruitment Full time

    **The Audit and Risk Recruitment Company* (ARRC) **has been exclusively mandated by our client, a global insurance business, in their search for a Compliance Officer to join their Governance team on a 12 month fixed term basis to cover maternity leave, ideally starting in May/June. The business offers a large portfolio of innovative products, targeted...


  • London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global industrial commodities business, specialising in the production and trading of industrial commodities. They are looking to hire a Head of Group Risk and Compliance for their London business. **THE RESPONSIBILITIES**: - Evaluating business activities to evaluate or assess compliance risk - Manging the Group’s...


  • London, United Kingdom Jameson Legal Full time

    This is an opportunity to join an industry-leading, world-renowned law firm as a Risk & Compliance Lawyer in London. You will be supporting the Director of Risk and Compliance to manage the risk framework, providing advice on regulatory matters that impact the firm, and provide commercial recommendations relating to the business internationally. Job...


  • London, United Kingdom Jameson Legal Full time

    A Global Private Equity Firm are looking for an experienced Compliance/Regulatory professional to join their team in London. The role will report to the Global General Counsel and Chief Compliance Officer. This will be a diverse role where you will workacross their global business, as well as taking the lead on regulatory aspects across their...

  • Compliance Officer

    2 weeks ago


    Old Street, Greater London, United Kingdom AJ Fox Compliance Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations...


  • London, United Kingdom EJ Legal Limited Full time

    Risk & Compliance Paralegal An excellent opportunity has arisen for a Paralegal to join the risk and compliance function of an international law firm. Based in London, the Risk and Compliance Paralegal will be offered a full-time, permanent position. **Your New Team** The Paralegal will be joining a risk and compliance team integral to the running of the law...


  • London, United Kingdom Financial Times group Full time

    The FT has an uncompromising mission: delivering independent, quality information, news and services to individuals and companies around the globe. but together we help our audience be better informed and understand the world around them. Our commitment to diversity and inclusion in the workplace Reporting to the Head of Regulatory Compliance, and part of...


  • London, United Kingdom Lewis Row Recruitment Full time

    A US Law firm in London are looking for an AML Risk and Compliance Officer to join their team. You’ll work with the AML Risk and Compliance Manager and be responsible for the processing of AML checks. The role also supports the firms MLRO and Risk and Compliance Director/Deputy MLRO in all areas of AML compliance. Timely completion of AML process for...


  • City of London, United Kingdom Page Executive Full time

    About Our Client The firm is a globally recognised entity in the financial services sector, the London office plays a pivotal role in this international firm's operations. Job Description Taking responsibility for the firm's legal & compliance and risk management programmes, assessing the adequacy and effectiveness of compliance and risk management measures,...


  • City of London, Greater London, United Kingdom Page Executive Full time

    About Our Client The firm is a globally recognised entity in the financial services sector, the London office plays a pivotal role in this international firm's operations. Job Description Taking responsibility for the firm's legal & compliance and risk management programmes, assessing the adequacy and effectiveness of compliance and risk...