Compliance Manager- Hedge Funds

Compliance Professionals
Job title: Compliance Manager- Hedge Funds
Company: Compliance Professionals
Job description: THE COMPANY:Our client is a specialist alternative asset manager, looking for a Compliance Manager to assist the COO in upholding the firm’s compliance monitoring program.Please note, this role requires 5 days in the office.THE RESPONSIBILITIES:
- Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations.
- Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment.
- Assess, monitor and manage regulatory risk and implement appropriate policies and procedures.
- Ensure the ICARA and risk register are maintained and regularly reviewed.
- Maintain MLRO reviews and financial crime oversight.
- Qualify prospective investors as professional clients.
- Review and approve marketing materials and other financial promotions.
- Provide compliance advice to the business development function including jurisdictional marketing rules.
- Prepare and submit non-financial regulatory filings.
- Coordinate AML/KYC requests from counterparties and investment entities.
- Ensure privacy and data protection rules are adhered to.
- Monitor staff training against regulatory requirements.
- Assist with legal matters, manage relationships with external counsel, and oversee legal budget and spend.
- Assist in monitoring and managing legal risk, implementing controls and mitigation strategies.
- Assist in establishing and maintaining an efficient UK company structure for regulated and non-regulated activities.
- Assist in overseeing fund entity governance, liaising with the fund board and company secretary.
- Ensure fund offering documents remain up-to-date and compliant.
- Advise on legal aspects of investor communications.
- Assist in drafting, reviewing, and negotiating legal documents (e.g., investment, counterparty, supplier agreements, and employment contracts).
- Assist with oversight of the staff handbook and HR policies/procedures.
- Assist in company secretary duties, including organizing board meetings and maintaining statutory records.
EXPERIENCE REQUIRED:
- Experience with NFA/CFTC and FCA rules (familiarity with MIFIDPRU/IPRU-INV a plus). Managed futures/options experience preferred.
- Awareness of onshore/offshore funds and associated regulatory considerations.
- Experience in compliance or legal support within financial services.
- Exposure to contract review and legal documentation.
- Ability to manage policy updates, record-keeping, and governance tasks.
- Strong liaison skills for internal/external stakeholder coordination
For further information please contact Spencer EvansAbout this roleLocation:LondonSpecialism:Salary:Up to £100/110,000 paType:Reference:19290
Expected salary:
Location: London
Job date: Sun, 13 Jul 2025 01:50:32 GMT
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