Compliance Officer

4 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.
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