Legal & Compliance Associate

Legal & Compliance Associate - Hedge Fund

Minimum 5+ Years Experience in buy-side

London - Office Based

Circa £100k - £130k (negotiable) PLUS BONUS

The Role

The Role is predominantly a generalist Legal & Compliance one. The successful candidate would work alongside a senior Compliance officer, directly supporting the regional head of Legal & Compliance. There would be a mix of communications surveillance, global regulatory filings (long/ takeover/ short disclosures), and core compliance work (for example, monitoring Personal Account Dealing, Gifts & Entertainment, and Outside Business Interest approvals), as well as some more traditional legal work, including corporate documentation, broker onboardings, commercial contracts, and trading documentation.

A sample of some of the things that this role might involve:

• Being or becoming an SME on global regulatory disclosures and trade restrictions, MAR risks, MiFID trade transparency (real-time and T+1 reporting), research framework, other regulatory advisory topics.
• Wall crossings & Restricted List maintenance.
• Trade and Transaction Reporting under MiFIR and MiFID II - where necessary working with Operations and Middle Office to ensure timely and accurate reporting.
• SMCR administration.
• Helping develop or update policies & procedures.
• Project work - for example assisting with the automation and improvement of compliance processes.
• Assisting with the design, development and roll out of compliance training materials (induction, ad hoc and annual).
• Maintaining and updating the compliance calendar, including regulatory filings and upcoming regulatory developments.
• System Maintenance - liaise with IT and Middle Office in relation to the day-to-day functionality of surveillance, database, and training
• Management Information Reporting - produce daily, weekly, and monthly MI for the Compliance Officer/MLRO.
• Onboarding, or maintaining documentation with trading counterparties.
• Dealing with Research documentation and policy oversight
• Regulatory developments - read, analyse and interpret regulatory developments and summarise impact analysis for the Compliance group.

Likely Candidate Attributes

• The successful candidate would be a focussed and energetic team player with excellent communication skills, looking to move into or develop a Legal & Compliance career in a buy side firm.
• They would be a highly organised individual who can meet deadlines and juggle competing priorities. They would be able to use good judgement in managing highly sensitive information and situations and know when to escalate matters to management.
• They would have strong attention to detail and excellent focus.
• They would have a degree or professional qualification in an appropriate subject, for example law, accountancy, or business; relevant industry qualifications (e.g., ICA, IMC, CISI Compliance) would be beneficial; the ideal candidate would have strong technical analysis abilities whilst also being numerate.
• They would have a minimum of 5 years UK/EU compliance or financial regulatory experience.
• A background in or knowledge of securities trading regulations or securities trading documentation would be beneficial, as would experience of compliance monitoring and surveillance; the Market Abuse Regulation; or control room work.

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