Senior Compliance Analyst

Coopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM.
As a Senior Compliance Analyst you will be joining a business that is looking to expand and will be an integral part of the firm with exposure to a wide variety of business functions and activities at the firm.
This is an excellent opportunity for a compliance analyst looking to progress into a more senior and broader compliance role. You will report into GC & CCO and will be responsible for generalist compliance activities covering both the UK & US.
Key Responsibilities:
Assist the firm meet FCA and SEC regulatory compliance requirements
Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews
Review Compliance Manual and develop & maintain the firms Compliance Policies & Procedures
Test the compliance monitoring programme
Conduct telephone monitoring, email surveillance and expert network call chaperoning.
Assist with the preparation of SEC filings for submission (ADV Pt 1 & 2, Form PF, 13H/F/G, CFTC, Form D).
Manage the wall crossing and market sounding processes as well as shareholder disclosure requests
Review Marketing presentations
Assist the firm to compile compliance related responses for DDQs/Operational Due Diligences.
Oversee the firm’s record keeping (Conflicts of Interest, OBIs, gifts & entertainment, breaches, training)
Experience Required:
1-3 years compliance experience within equity asset management environment
Exposure to regulatory markets, such as the US, Cayman and Ireland.
ComplianceAlpha or similar programme management tool preferred.
Experience with both FCA & US Marketing Rule requirements (Preferred)
An analytical & methodical mindset
Strong stakeholder management skills
For a confidential discussion or for further information, please get in touch with #####
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