Hedge Fund Compliance Manager

Summary: The primary responsibility of the Compliance Manager is to assist the Chief Operating Officer (COO) in upholding the firm’s compliance monitoring program. This involves maintaining, enforcing, and updating compliance policies, procedures, and oversight as needed. Additionally, the Compliance Manager assists in relevant legal matters for the Company and its funds, coordinating with external advisors when required.

Duties include:

Compliance: The firm’s investment management activity via its fund is regulated by the FCA (including IPRU-INV and MIFIDPRU prudential sourcebooks) and the NFA/CFTC. Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations. Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment. Assess, monitor and manage regulatory risk and implement appropriate policies and procedures. Ensure the ICARA and risk register are maintained and regularly reviewed. Maintain MLRO reviews and financial crime oversight. Qualify prospective investors as professional clients. Review and approve marketing materials and other financial promotions. Provide compliance advice to the business development funct...