Junior Compliance Officer

2 weeks ago

London, United Kingdom Caxton Associates Full time

**About Caxton**:
Caxton Associates, founded in 1983, is a global trading and investment firm with offices in London, New York, 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.

**The role**:
We are currently looking to hire a mid-level generalist compliance professional to join our London office to contribute to our Global compliance team. Reporting directly to the Chief Compliance Officer, you will play a crucial role in implementing and maintaining a best-in-class global compliance programme. You will ensure regulatory adherence and promoting a culture of compliance across the organisation.

**Requirements**:

- Operate core compliance programme (PAD, Conflicts, Gifts and entertainment, etc.).
- Operate regulatory reporting, long/short filings.
- Oversee watch/ restricted list/ wall crossing protocols.
- Oversee Compliance e-training program and delivery.
- Assist with other filings, e.g., Annex IV.
- Assist with trade & communications surveillance and investigations.
- Assist in the management and coordination of the global compliance programme.
- Conduct global monitoring and surveillance activities.
- Collaborate with other Compliance team members on policies, procedures and compliance issues on a global basis.
- Utilise your skills to contribute to various projects across the Legal & Compliance team as required.

**Experience**:

- Ideally you will have 4+ years’ experience acting as a compliance generalist within an investment management, hedge fund, trading firm
- Strong understanding and practical experience of regulatory frameworks
- Regulatory reporting and filings (e.g., Annex IV)
- Ability to work both independently as part of a cross-jurisdictional team essential
- Proven judgment in understanding and managing regulatory risks
- Highly organised with strong attention to detail, with the ability to multi-task and meet tight deadlines
- Excellent communication and presentation skills, in person and in writing
- Experience in trade and communications surveillance program development, implementation and operation
- Bloomberg AIM experience beneficial
- Commitment to the highest level of professional and ethical standards

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