Senior Compliance Officer - 12 Month FTC

OCR Alpha is currently working with one of Europe’s leading hedge funds with over $20 billion AUM. They are a truly global business with a multi-strategy approach. Our client prides itself on their cohesive and collaborative culture.

The Role

We are looking for an experienced Compliance Officer to join on a 12-month fixed-term contract. In this role, you will support the Chief Compliance Officer in overseeing the firm's compliance operations and deputize when needed. The ideal candidate will have extensive knowledge of regulatory frameworks in the hedge fund and asset management sectors, ensuring adherence to relevant regulations and internal policies.

Key Responsibilities:

• Regulatory Advice: Provide guidance to trading teams across various asset classes, including Fixed Income, Equities, and Derivatives.
• Regulatory Compliance: Advise on global regulations from bodies like the FCA, SEC, NFA, and CFTC.
• Compliance Monitoring Program (CMP): Assist in designing, executing, and enhancing the CMP, focusing on market abuse regulations, best execution, cross-trading policies, and global short sale regulations.
• Regulatory Reporting: Aid in the timely submission of necessary filings and reports to regulatory authorities in the UK, EEA, and other regions.
• Training and Development: Help develop and deliver compliance training for front office staff to ensure understanding of regulatory obligations and ethical standards.
• Regulatory Engagement: Prepare for and assist with external regulatory audits, liaising with regulators to provide compliance-related guidance.
• Risk Management: Identify compliance risks within the business and implement corrective actions to ensure regulatory adherence.
• Cross-Functional Collaboration: Work with trading, operations, legal, and investor relations teams to align front office activities with regulatory obligations.

Key Requirements

• Bachelor’s degree or equivalent
• At least 10 years + of experience in a business facing compliance function at a hedge fund, prop trading house, or possibly an investment bank (trading floor advisory)
• Strong regulatory knowledge, particularly with UK and US regulators. APAC regulatory exposure a plus
• Marketing compliance experience advantageous