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DATE ADDED: Wed 11/09/2019

Head Of Compliance - Quantitative Investment Manager

London, UK


JOB TYPE: Permanent, FullTime

SALARY: Negotiable

Responsibilities will include, but not be limited to:

  • Building and managing the overall compliance program inclusive of regulatory requirements such as AIFMD and ongoing regulatory risk assessment and related testing activities.
  • Complete necessary regulatory filings and engage with FCA, SEC and CFTC, where necessary.
  • Providing training as well as regulatory and policy advice to business partners, as needed.
  • Deliver AML/Financial Crime requirements including oversight of third parties and monitor the administrators in relation to the AML for the funds managed.
  • Oversee trade error analysis, resolution, documentation, and reporting.
  • Reviewing marketing materials and providing support for cross-border marketing.

Desirable Skills and Experience Include:

  • Experience of senior regulatory or compliance-related experience, with demonstrated expertise in investment and derivatives regulation, trading, products, distribution and related issues.
  • Proven track record of interfacing with senior management across various business areas, including presentations and ad-hoc advice.
  • Preferred experience in trading oversight, particularly guideline and regulatory monitoring.
  • Additional experience of identifying risks and developing appropriate control processes.