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Senior Compliance Analyst

4 months ago

City of London Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time

Coopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM. The experience expected from applicants, as well as additional skills and qualifications needed for this job are listed below. As a Senior Compliance Analyst you will be joining a business that is looking to expand and will be an integral part of the firm with exposure to a wide variety of business functions and activities at the firm. This is an excellent opportunity for a compliance analyst looking to progress into a more senior and broader compliance role. You will report into GC & CCO and will be responsible for generalist compliance activities covering both the UK & US. Key Responsibilities: Assist the firm meet FCA and SEC regulatory compliance requirements Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews Review Compliance Manual and develop & maintain the firms Compliance Policies & Procedures Test the compliance monitoring programme Conduct telephone monitoring, email surveillance and expert network call chaperoning. Assist with the preparation of SEC filings for submission (ADV Pt 1 & 2, Form PF, 13H/F/G, CFTC, Form D). Manage the wall crossing and market sounding processes as well as shareholder disclosure requests Review Marketing presentations Assist the firm to compile compliance related responses for DDQs/Operational Due Diligences. Oversee the firm’s record keeping (Conflicts of Interest, OBIs, gifts & entertainment, breaches, training) Experience Required: 1-3 years compliance experience within equity asset management environment Exposure to regulatory markets, such as the US, Cayman and Ireland. ComplianceAlpha or similar programme management tool preferred. Experience with both FCA & US Marketing Rule requirements (Preferred) An analytical & methodical mindset Strong stakeholder management skills For a confidential discussion or for further information, please get in touch with As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.