Our client, a global US hedge fund, is seeking a Compliance Officer for their London office, who will report directly to the Compliance Director.
The client wish to see candidates who have ample experience conducting EU short selling as well as transaction reporting.
Key responsibilities for this position will include, but are not limited to:
Answering queries around EU short selling rules and requirements
Daily position monitoring, capacity checks and reconciliation and review of daily reports and submission filings
Responsible for transaction reporting, providing advisory support on as well as reviewing the relevant regulations
Working closely with stakeholders to resolve day to day reporting issues
Assist in carrying out the non-trade surveillance program
Responsible for the review of UK and EU long and short disclosures
Responsible for the coordination of AIFMD, MiFIDPRU and other filings within RegData
Monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required
Practical experience with disclosure and regulatory reporting and monitoring is essential.
6+ years of Compliance experience
4-year Bachelor’s degree preferred
Exposure to/understanding of different types of asset classes (equities, equity derivatives, macro and credit)
Knowledge of insider dealing rules and the relevant regulations
Knowledge of hedge funds, investment advisory functions and research
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11533
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.