Job DescriptionCompliance VP - Financial Services
A leading global Hedge Fund is seeking a VP in Compliance to join their team in London. This role is pivotal in ensuring adherence to regulatory requirements and supporting the firm’s central and operational compliance activities.
Key Responsibilities:
- Serve as the primary contact for US Compliance regulatory matters, including managing the US regulatory framework and coordinating filings with the SEC, CFTC, NFA, and other international regulatory bodies.
- Oversee central and operations compliance functions, ensuring all legal and regulatory obligations are met.
- Support external investment programs and operational due diligence processes, with a focus on AML compliance.
- Provide advice and guidance to employees on compliance-related queries and ensure smooth onboarding/offboarding processes, including managing employee certifications.
- Organize and present compliance induction training and advise senior management on compliance arrangements, policies, and procedures.
- Monitor regulatory developments and enhance internal compliance policies and procedures as necessary.
- Administer NFA registration processes and produce monthly management information for governance and board committees.
- Partner with internal and external stakeholders to deliver mandated initiatives, including assisting with SMF applications and updating the FCA Directory.
Requirements:
- Bachelor’s degree or equivalent qualification in Compliance.
- Extensive experience in central and/or operations compliance, with strong regulatory knowledge related to CFTC, NFA, SEC, and FCA rules.
- Previous experience in a buy-side compliance role is highly desirable.
- Excellent communication and administrative skills, with the ability to work effectively with global teams.
- Leadership experience is a plus, but not essential.