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Compliance Specialist

Information About This Job

Job Title: Compliance Specialist
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: over 2 years ago

Job Description

Our client, a boutique Hedge Fund are looking for a Compliance Specialist to join the team.


Below is a generalist spec but front office compliance monitoring is essential.  This would appeal to anyone with specific knowledge in this space looking to utilise the current skill set and would like to broaden there compliance remit. 

The candidate will have acquired knowledge of the FCA’s handbook and on COBS, CASS, SYSC, GENPRU, and BIPRU. Be competent in the UK, US and EU regulatory environments and competence in UCITS and AIF product.

Open-minded, adaptable and flexible.

A French speaking person would be an advantage.


Job description

  • Undertaking the Compliance Monitoring Programme across the entire firm; 
  • Substantial shareholding, short positions, takeover panel reports, transaction reporting in multiple jurisdictions
  • Analysis of systems and controls arrangements (SYSC), reporting to senior management
  • Undertaking the Compliance Monitoring on best execution, market abuse, pre-trade and post trade compliance, Dealing, Gifts & Entertainment allocation etc..
  • Writing and updating policies and procedures for the firm’s Compliance Manual; 
  • Reviewing Financial Promotions aimed at both retail and professional investors; 
  • GABRIEL compliance reporting for the firm
  • Connect compliance reporting for the firm; 
  • Researching the impact of forthcoming regulations, such as UCITS, AIFMD, EMIR, MiFID II, and MAD II
  • Undertaking project work as required, such as FCA visit preparation, reviews to ensure compliance with regard to best execution, market abuse, pre-trade compliance, and trade reporting/transaction reporting Dealing, Gifts & Entertainment etc…
  • Assisting firms with the preparation and submission of regulatory filings, such as GABRIEL, Annex IV, FATCA; Form PF and CPO PQR submissions etc…
  • Updating wording in client DDQ questionnaires, 
  • Preparing quarterly reports on compliance arrangements 
  • Preparing ICAAP ILAS
  • Assisting with client FCA communications 
  • Providing in-house compliance training for staff.

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