The Compliance Manager will advise and assist the business in the growing alternatives investments space, such as hedge funds, private equity and private debt funds, and the related portfolio investments. The Compliance Manager will provide support within the investment compliance function, performing oversight of the broader trading platform.
Help evaluate the adequacy and effectiveness policies, procedures and internal controls
Work closely with the Deputy CCO, Legal team and investment teams in the alternatives space to support the expanding alternatives platform
Provide monitoring and oversight over traditional equity, fixed income, and multi-asset strategies
Responsible for reviews with respect to trading activities, i.e. trade allocations and market abuse (i.e. insider dealing, front running, etc.)
Investigate compliance issues as needed and report findings back to the CCO or DCCO
Perform general compliance and operational risk related functions as instructed
5 - 7+ years of Compliance experience within the asset management / hedge fund industry