Compliance VP

3 weeks ago

London Area, United Kingdom Jacobson Garner Full time

Compliance VP - Financial Services

A leading global Hedge Fund is seeking a VP in Compliance to join their team in London. This role is pivotal in ensuring adherence to regulatory requirements and supporting the firm’s central and operational compliance activities.


Key Responsibilities:

  • Serve as the primary contact for US Compliance regulatory matters, including managing the US regulatory framework and coordinating filings with the SEC, CFTC, NFA, and other international regulatory bodies.
  • Oversee central and operations compliance functions, ensuring all legal and regulatory obligations are met.
  • Support external investment programs and operational due diligence processes, with a focus on AML compliance.
  • Provide advice and guidance to employees on compliance-related queries and ensure smooth onboarding/offboarding processes, including managing employee certifications.
  • Organize and present compliance induction training and advise senior management on compliance arrangements, policies, and procedures.
  • Monitor regulatory developments and enhance internal compliance policies and procedures as necessary.
  • Administer NFA registration processes and produce monthly management information for governance and board committees.
  • Partner with internal and external stakeholders to deliver mandated initiatives, including assisting with SMF applications and updating the FCA Directory.


Requirements:

  • Bachelor’s degree or equivalent qualification in Compliance.
  • Extensive experience in central and/or operations compliance, with strong regulatory knowledge related to CFTC, NFA, SEC, and FCA rules.
  • Previous experience in a buy-side compliance role is highly desirable.
  • Excellent communication and administrative skills, with the ability to work effectively with global teams.
  • Leadership experience is a plus, but not essential.

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