Compliance Officer

Key Responsibilities: Advising PMs and trading teams on day-to-day compliance matters and embedding practical, real-time controlsSupporting pre- and post-trade monitoring and investigating potential trading, market conduct and policy breachesReviewing and approving new products, markets, brokers and counterpartiesLeading compliance reviews and investigations, producing clear findings and remediation plansSupporting regulatory exams and inquiries relating to tradingTracking global regulatory change and turning it into practical policy updatesDelivering compliance training to investment teamsChaperoning calls and meetings between investment professionals and third partiesActing as the go-to compliance expert for both the compliance team and the businessWhat we’re looking forJD from an accredited law school and active bar admissionCompliance experience supporting trading businesses at a hedge fund, asset manager or broker-dealer (candidates from law firms or regulators with relevant markets experience will also be considered) Direct coverage of products such as interest rate swaps, sovereign bonds, FX, credit, ABS, commodities and derivativesStrong working knowledge of SEC Rule 10b-5, CFTC Rule 180.1 and MNPI analysisExperience with trade surveillance, pre-trade controls or post-trade investigationsExcellent communicator – confident on the phone with PMs and able to explain complex legal concepts simplySound judgement and collaborative approachFor more information simply apply to this advert with your updated CV or message me directly at alex.jenkins@jcwgroup.comWe are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.