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Compliance Associate

2 months ago

London Area, United Kingdom Coopman Search and Selection | B Corp™ Full time
Compliance Associate Job Description

Coopman Search and Selection, a Certified B Corporation, is partnering with a leading multi-strategy hedge fund to hire a Compliance Associate. This role will report directly to the UK Head of Compliance.

Key Responsibilities:
  • Contribute to a comprehensive compliance monitoring program for our UK FCA regulated entity.
  • Support the UK Head of Compliance in developing a compliance framework to support new products and new markets.
  • Ensure Senior Managers and Certification Regime compliance, including associated recordkeeping, regulatory filings, and managing the 'fit and proper' certification process.
  • Monitor MiFID 2 research and corporate access, and prepare materials for Research Committee meetings.
  • Recordkeeping relating to best execution monitoring.
  • Market sounding/wall crossing process, including associated recordkeeping.
  • Share disclosure monitoring and filings.
  • Trade release process.
  • Expert network chaperoning.
  • Gifts and Entertainment monitoring.
  • Compile and update KYC materials.
Requirements:
  • 2-5 years compliance experience within the asset management environment.
  • Experience across multiple asset classes.
  • Experience with both FCA and SEC regulators preferred.
  • Ability to work in a fast-paced and demanding environment.
  • Able to build strong relationships.

As a Certified B Corporation, we take a different approach to how we do business. We value and incorporate the interests of all our stakeholders to grow in the most sustainable manner. As a recognized Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.