Senior Legal & Compliance Officer

Coopman Search and Selection are delighted to partner with a top tier hedge fund who are looking to hire a Senior Legal & Compliance Officer. This role will report into the CCO but you will be given full autonomy to leading the compliance function, and be involved in decision making for compliance, as well as wider legal responsibilities. Longer term there is a clear pathway to take on the CCO role for the right individual.

In this role you will will act as the principal point of contact for employees on day to day regulatory matters. You will also contribute to the operation of the compliance programme, liaising with the senior management and advising on relevant regulatory matters and good practice within the industry to ensure that the firm maintains a robust compliance control framework.

Key Responsibilities:

• Conducting trade compliance monitoring across all asset classes traded and implementing system improvements.
• Maintaining the various regulatory registers such as Breaches, Complaints, Gifts etc.
• Maintaining and improving the compliance monitoring programme, preparing the Annual Compliance and AML Reports and annual compliance policy updates.
• Review marketing materials before distribution.
• Assist in the negotiation of the funds’ counterparty trading documents.
• Negotiate a wide scope of agreements such as third-party marketing agreements, research agreements, IMAs, management company contracts etc.
• To act as the main point of contact with the FCA, SEC (and any other applicable bodies) either through correspondence or in the event of any regulatory inspection to assist with any such undertaking.
• Manage one Compliance Analyst.

Experience Required:

• Qualified Lawyer is desirable although not essential
• 6+ years of compliance & legal experience within an asset manager
• Exposure to regulatory markets, such as the US, Cayman and Ireland;
• Strong stakeholder management skills
• An analytical and methodical mind.

For a confidential discussion or for further information, please get in touch with [email protected]

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.”