New Position: Compliance Officer at a Multi-Asset Hedge Fund
We are seeking a proactive individual to join a multi-asset hedge fund as the first dedicated compliance professional. This newly created role will work closely with key figures within the business, providing wide-ranging support across the compliance function. A strong cultural and personality fit is essential, as is the ability to take initiative and handle diverse projects and responsibilities.
Key Responsibilities:
* Assist with the execution of an ongoing compliance monitoring program (including personal account dealing, compliance attestations, policy dissemination, and fit & proper assessments)
* Identify, investigate, and escalate potential market abuse concerns
* Review and approve marketing materials
* Maintain and update compliance policies and internal registers
* Handle and respond to client due diligence requests
* Set up and oversee investment compliance limits within the trading system
* Track and manage global ownership disclosure requirements (both long and short positions)
* Monitor ERISA and Restricted Persons limits across the firm’s funds
* Supervise the firm’s research payment account
* Prepare and file regulatory submissions
Preferred Qualifications and Skills:
* Familiarity with FCA, CIMA, and SEC regulatory frameworks
* Understanding of European ownership disclosure regulations
* Broad compliance experience within an asset management or hedge fund environment
* Strong technical skills, particularly in Excel; familiarity with tools like Power BI or Power Automate is a plus – a mindset geared toward improving processes and efficiency is important
* Experience with Front (or similar systems)