Legal and Compliance Counsel

1 month ago


London, United Kingdom Marsden Full time

Job Description

Senior In House Legal and Compliance professional – Hedge Fund – London

Our client is a boutique hedge fund based in London’s Mayfair.

This start up investment management business is at a stage where they are looking for a talented Senior In House Lawyer and Compliance professional to help steer the business into a bright future.

You will be legally qualified and have at least 5 years expertise within the Financial Services sector covering both legal and financial compliance. Reporting into the General Counsel, you will be a self-starter with an ambition to make your mark in this greenfield site. You will be confident with a broad role covering both legal matters (commercial contracts, employment, regulatory) and compliance (MIFID, AIFMD etc.) matters.

Responsibilities will include:

Compliance

  • Trade monitoring, surveillance, and trade/transaction reporting
  • Review and resolution of trade errors, market abuse cases, and market soundings
  • Perform gap analysis, compliance desk reviews, and annual compliance assessments
  • Educate investment and non-investment staff on compliance matters, and enforce compliance policies
  • Conduct thematic reviews
  • Maintain, update and implement compliance policies and procedures

Legal

  • Draft, review, and negotiate a variety of contracts, including investment agreements, trading agreements, service contracts, NDAs
  • Collaborate with business units to ensure contractual agreements meet legal and business requirements.
  • Stay abreast of relevant laws and regulations affecting the hedge fund industry.
  • Develop and implement compliance policies and procedures.
  • Conduct regular legal assessments to ensure adherence to regulatory requirements.

The salary is generous and may suit someone looking for a fresh challenge in this exciting space perhaps from a bank, fund or compliance consultancy.

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