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Compliance Manager

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Role Title: Compliance Manager

Department: Compliance 

Office Location: London 

Permanent 

Department Overview:

Compliance is an experienced team based in both London and Singapore. The team is supported by the Legal team, Operations Technology, Operations, Market Risk and Fund Accounting. The Head of Compliance is based in London and reports to the Global COO who sits on the Executive Committee of the investment manager, which is based in Jersey, Channel Islands.
The Compliance team currently has three people based in London covering offices in the UK, USA, Puerto Rico, Dubai, Switzerland, and Jersey, and one compliance officer based in Singapore covering the Singapore office.

Role overview:

The candidate will work within a team of five, with a direct report to the Head of Compliance, and will lead on regulatory reporting, reviews of and projects related to compliance systems and controls, trade and communications surveillance monitoring, restricted information handling and general compliance. The role will also have this person deputise for the Head of Compliance on matters outside surveillance and trading advisory.
Responsibilities include the following:

  • Responsible for regulatory reporting and compliance (trade and transaction reporting, commodities reporting) and related systems projects and implementation e.g. US short sale reporting.
  • Lead on implementation of new regulatory reporting process for US short sales with goal of process automation.
  • Responsible for regulatory filings process and content eg. SEC 13F, 13H
  • Responsible for compliance systems and controls audits
  • Responsible for documenting systems controls and for periodic updates of systems settings and identification of gaps in data capture.
  • Responsible for liaising with Operations, Technology and IT Technology on systems flow and data capture.
  • Assist with surveillance monitoring and review of surveillance systems.
  • Involvement in conflicts policy and procedures e.g. personal account dealing, gifts and entertainment and ongoing conflicts of interest review.
  • Ad hoc compliance projects and duties as required

Experience required:

  • Proven background of regulatory systems and data experience
  • Experience of general financial markets compliance at a fund manager or a bank.
  • IT technology interest and skillset
  • Strong Excel skills
  • MI reporting experience.

About you:

  • Interested in moving into a general compliance role in a senior position.
  • Experience of regulatory reporting including SEC 13F, 13H, 13G and implementation of new regulatory reporting requirements
  • Confident in dealing with technology, systems and data.
  • Confident liaising with technology specialists in operations tech
  • Knowledge of traded financial instruments
  • Self-starter, energetic and problem solver
  • Able to manage and prioritise multiple tasks
  • Highly organised and attention to detail
  • Ability to communicate, collaborate and influence at a senior level across the organisation
  • Strong analytical and numerical skills
  • Strong Excel and MI experience.

 

BlueCrest is committed to providing an inclusive environment for its workforce. As an employer, we provide equal opportunities to all people regardless of their gender, marital or civil partnership status, race, religion or ethnicity, disability, age, sexual orientation or nationality.

Last updated on Mar 6, 2024

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