Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally.
The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
Primary Responsibilities
* Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
* Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
* Assisting with wall crossings and management of the MNPI process
* Help with the EU and UK regulatory filings and disclosures.
* Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
* Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity.
* Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
* Be a resource to business groups to resolve compliance issues in accordance with firm policies
* Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed.
Requirements
* Bachelor’s degree or higher
* 3+ years of experience in asset management or hedge fund compliance
* Knowledge of MiFID II requirements and other EU and UK regulations as they relate to short selling and substantial shareholding disclosures and the UK Takeover Panel
* Knowledge and experience with a broad range of instruments and asset classes
* Strong written and oral communication skills
* Organized and self-motivated with strong attention to detail
* Able to multi-task in a dynamic high-pressure environment
* Experience working directly with investment and trading professionals