Compliance Officer

Coopman Search and Selection are delighted to partner exclusively with a leading quantitative investment firm focussed on systematic trading strategies in global markets. The role will report in directly into the global CCO who is based in the US and work closely with the legal & trading teams.

This is a newly created role to support their growth in the US and you will be joining a standout team that are committed to facilitating the Firm’s adherence to its fiduciary duties, regulatory compliance and providing commercial solutions to the business. You will also assist in all other aspects of the Firm’s US based compliance program including preparation of regulatory submissions, surveillance, training and policy development implementation.

Key Responsibilities:

• Take a leading role in ongoing development and implementation of the Firm’s compliance program.
• Ability to efficiently interact with other departments and senior management of the Firm.
• Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks.
• Provide support across a variety of compliance initiatives including Code of Ethics, regulatory filings, cybersecurity, electronic communication surveillance, artificial intelligence, alternative data, trade surveillance, vendor due diligence, and updating and testing of compliance procedures, in conjunction with the Chief Compliance Officer.
• Develop proficiency with the Firm’s suite of compliance tools including Bloomberg Vault, ComplySci, FundApps, and OneTick.
• Develop subject matter excellence in ongoing regulatory developments and industry trends that are relevant to the Firm.

Experience Required:

• Undergraduate degree required; investment management and/or finance experience is a major plus, JD and experience working at a law firm is preferred
• 4-8 years of experience as a compliance professional or a lawyer within the financial services industry is advantageous but others will be considered.
• Strong interest and willingness to develop expertise in regulatory and compliance matters in the alternative investment industry.
• Excellent communication and interpersonal skills with the ability to exercise discretion and sound judgment with respect to highly confidential/sensitive information.
• Demonstrated work ethic and time management skills to manage multiple projects with a strong sense of urgency.
• Ability to adapt and thrive in a fast-paced, collaborative environment.

For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.”