The Role
Working as an integral part of the broader Compliance and Risk team, you will be in charge of creating supervisory procedures, monitoring changes in compliance and regulations and ensuring client remains on top of its reporting duties. As Compliance Manager you will work closely with internal and external stakeholders to promote best practice and consistency. You will lead the US Compliance efforts.
Responsibilities
- Primary compliance touchpoint for the firm's SEC-regulated investment adviser and its Cayman-domiciled funds, including oversight of regulatory filings and fund governance requirements
- Managing a firm wide regulatory compliance program
- Maintaining the firm’s Written Supervisory Procedures to ensure compliance with regulatory and exchange rules across all exchanges on which the firm trades
- Assist in building and analyzing systems designed to monitor compliance with regulatory and exchange rules
- Monitor trading and continuously improve trade surveillance reports
- Keeping abreast of changes in exchange rules
- Handling any enquiries from regulators
- Reviewing contracts with brokers and other group service providers
Skills and Experience
- A minimum of 10-15 years of experience in the Financial Services industry
- A sound knowledge of market integrity rules in the US, Australia, Europe & UK
- Futures and Equities related experience
- Trade monitoring and surveillance experience
- Extensive experience in the hedge fund and/or trading sector
- Strong interpersonal and communication skills
- Team oriented approach to work
Bonus Skills
- Bachelor’s degree in Business / Finance / Law
- Prior exposure to working in conjunction with regulators such as the SEC or CFTC or
- An understanding of MIFID II requirements
- Understanding of market integrity rules of the USA, Europe and APAC regions
- Experience in a legal environment