Compliance Officer

Job Description

New Position: Compliance Officer at a Multi-Asset Hedge Fund

We are seeking a proactive individual to join a multi-asset hedge fund as the first dedicated compliance professional. This newly created role will work closely with key figures within the business, providing wide-ranging support across the compliance function. A strong cultural and personality fit is essential, as is the ability to take initiative and handle diverse projects and responsibilities.

Key Responsibilities:

• Assist with the execution of an ongoing compliance monitoring program (including personal account dealing, compliance attestations, policy dissemination, and fit & proper assessments)
• Identify, investigate, and escalate potential market abuse concerns
• Review and approve marketing materials
• Maintain and update compliance policies and internal registers
• Handle and respond to client due diligence requests
• Set up and oversee investment compliance limits within the trading system
• Track and manage global ownership disclosure requirements (both long and short positions)
• Monitor ERISA and Restricted Persons limits across the firm’s funds
• Supervise the firm’s research payment account
• Prepare and file regulatory submissions

Preferred Qualifications and Skills:

• Familiarity with FCA, CIMA, and SEC regulatory frameworks
• Understanding of European ownership disclosure regulations
• Broad compliance experience within an asset management or hedge fund environment
• Strong technical skills, particularly in Excel; familiarity with tools like Power BI or Power Automate is a plus – a mindset geared toward improving processes and efficiency is important
• Experience with Front (or similar systems)

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