Compliance Officer
2 months ago
**About One Ten Associates**
We are a specialist hedge fund based in London, seeking a highly skilled Compliance Manager to join our existing team. As a key member of our team, you will play a critical role in ensuring our compliance with regulatory requirements and maintaining a strong risk management framework.
**Key Responsibilities**
- **Surveillance and Monitoring**: Conduct thorough surveillance and monitoring of our trading activities to ensure compliance with best execution, market abuse, and market manipulation regulations.
- **Shareholder Disclosure**: Oversee the firm's shareholder disclosure responsibilities, ensuring timely and accurate reporting to regulatory bodies.
- **Compliance Programme**: Develop and maintain a comprehensive compliance monitoring programme, identifying areas for improvement and implementing corrective actions.
- **Regulatory Advice**: Provide expert regulatory advice to senior stakeholders, ensuring alignment with regulatory requirements and industry best practices.
- **Thematic Reviews**: Conduct regular thematic reviews to identify and address potential compliance risks.
- **Policy and Procedure Development**: Maintain, update, and implement compliance policies and procedures, ensuring they are effective and up-to-date.
**Requirements**
- **Experience**: 5-7+ years of compliance experience, preferably within a hedge fund or investment manager.
- **Surveillance Expertise**: Strong understanding of surveillance, ideally within equities.
- **Generalist Compliance**: Generalist compliance experience, with a broad knowledge of regulatory requirements.
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