Senior Compliance Officer

Location: London, UK (4 days in office)

Salary: £120,000 - £140,000 + discretionary bonus (25-30%)

Industry: Hedge Fund / Asset Management

Experience Level: Senior (5+ years)

The Role

A leading hedge fund is seeking a Senior Compliance Officer to oversee and enhance its compliance framework. This role requires a deep understanding of FCA and SEC regulations, as well as experience working within equity long/short and derivatives strategies (futures & options).

The successful candidate will play a critical role in ensuring regulatory compliance across multiple jurisdictions (UK, US, and potentially Dubai and CFTC markets) while fostering a strong internal compliance culture.

Key Responsibilities

Regulatory Compliance & Oversight

1. Act as a senior compliance lead for all FCA and SEC regulatory matters, with additional oversight of DFSA and CFTC compliance where applicable.
2. Develop, implement, and enhance compliance policies, frameworks, and procedures to meet multi-jurisdictional regulatory requirements.
3. Manage regulatory reporting obligations, including FCA filings (GABRIEL, SMCR compliance), SEC Form PF, and other required disclosures.
4. Conduct compliance monitoring, trade surveillance, and regulatory risk assessments.

Advisory & Risk Management

1. Provide strategic compliance guidance to senior management, trading desks, and investment teams.
2. Identify and mitigate compliance risks related to trading, market abuse, conflicts of interest, and best execution.
3. Stay ahead of regulatory developments and ensure compliance processes align with industry changes.

SEC & FCA Compliance Focus

1. Ensure compliance with SEC regulations, including the Investment Advisers Act, Form ADV updates, and US marketing rules.
2. Oversee FCA compliance, including SYSC, COBS, MAR, and hedge fund-specific obligations.
3. Respond to regulatory audits, inquiries, and inspections from relevant authorities.

Internal Compliance Culture & Training

1. Develop and lead compliance training programs on AML, market conduct, insider trading, and regulatory best practices.
2. Promote a culture of compliance across all business areas.

Legal & Governance Support

1. Assist with regulatory filings, contract negotiations, and compliance-related legal matters.
2. Work closely with external counsel and regulators.
3. Manage internal governance reporting and compliance board updates.

Key Requirements

Must-Have Experience:

1. 5+ years in a senior compliance role within a hedge fund, asset manager, or financial institution.
2. Expertise in both FCA and SEC regulations, with direct experience managing compliance frameworks for both jurisdictions.
3. Strong knowledge of hedge fund structures, trading strategies, and regulatory frameworks for equity long/short and derivatives (futures & options).
4. Experience leading compliance monitoring programs and regulatory reporting.
5. Hands-on approach, with the ability to operate in a lean but high-performing team.

Highly Desirable:

1. Experience with Dubai DFSA or CFTC regulations.
2. Legal background or exposure to contract law, regulatory law, and governance frameworks.
3. Familiarity with AML, KYC, and financial crime regulations.
4. Knowledge of SEC Form PF, CFTC filings, and cross-border compliance obligations.

Culture & Work Environment

1. Fast-paced, entrepreneurial environment, ideal for compliance professionals who enjoy proactive problem-solving.
2. High level of autonomy – opportunity to take ownership of compliance functions.
3. Collaborative team, working closely with senior leadership.
4. Four days in the London office, with some flexibility for remote work.

Compensation & Benefits

Salary: £120,000 - £140,000 base

Bonus: 25-30% discretionary bonus

Office: London (4 days in-office)

Exposure to global compliance markets (UK, US, Dubai, CFTC)

Opportunity to shape and enhance compliance frameworks in a leading hedge fund