Feb 14, 2018

European Hedge Fund: Compliance Analyst

  • Financial Services
  • Hong Kong
Full time Compliance Hedge Fund Monitoring

Job Description

About:

A global hedge fund with offices in London and HK employing over 45 people to manage total assets in excess of $4bln. The flagship fund launched in 2010 and has a multi-strategy investment approach, currently managing $2.2bn, with annualised returns of 14.5%. The firm also manages a highly successful Fixed Income Fund with annualised returns of 14%. The firm is currently regulated by the FCA, CFTC/NFA, SFC and has ERA status with SEC.

The team

The London office has around 30 people, all working together in an informal open plan office. There is one dedicated Compliance Officer who reports into the firms Chief Operating Officer. The candidate will report into the Compliance Officer who is based in London.

As a small firm, the talent and dedication of our people is crucial to the firm’s success, and we encourage and expect everyone to work closely together collegiately.

Main responsibilities and role description:

As the team will be composed of two people, the candidate will be given the opportunity to become involved in a wide range of compliance areas including but not limited to:

  • Assist compliance officer with general day to day compliance tasks

  • Conduct reviews of marketing materials

  • Assist with building of the firms global compliance program

  • Assist with daily trade and surveillance monitoring and investment compliance

  • Assist with compliance science system and maintenance and review of employees conflict of interest attestations

  • Assist with keeping abreast of the ever-changing regulatory landscape including analysis,interpretation and applicability to the business

  • Assist with global registrations with regulators

  • Assist with development and delivery of training for all employees
  • Assist with regulatory filings and reporting such as Form ADV, Section 13F & 13H Reporting, 7R, 8R, PQR, ICAAP, EMIR, etc.
  • Essential skills:

  • Undergraduate with a good degree pass

  • Minimum one to two years’ experience in investment or asset management with

    knowledge/awareness of FCA, CFTC, SEC and SFC regulations

  • Must demonstrate accuracy and attention to detail

  • Strong written and verbal communication skills

  • To be able to work independently and within a small team

  • Strong communication skills and willingness to work with all employees and partners

  • Able to work in a fast paced, constantly changing environment, and prioritise work accordingly Location

 

Level

Analyst

Years of Experience

2

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