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Job Title Senior Compliance Manager
Opening Date 23-Sep-2021
Closing Date 23-Nov-2021
Location Global
Description

Capula are looking for an experienced Senior Compliance Manager to join our London team on a permanent contract.

Responsibilities

  • Act as primary contact for Investor Relations team in London and provide advice on marketing activities in the UK, EEA, and other jurisdictions globally
  • Review and approve marketing materials and new funds/accounts
  • Ensure any necessary marketing registrations or notifications are made, in the UK, EEA or elsewhere
  • Review new fund proposals and coordinate internal target market and suitability assessments
  • Manage and undertake day-to-day basis 'headline' Compliance projects including new or revised regulation, outsourced providers and new business lines
  • Ensure that all regulatory filings and reports are submitted on time
  • Maintain, review, and update the Compliance Manual, policies, procedures and registers
  • Organize and implement regulatory training for staff
  • Research and keep up-to-date with regulatory matters and circulate appropriate updates
  • Assist with and oversee the effective operation of the firm's Compliance Monitoring Programme ("CMP") including but not limited to:
    • Monitoring adherence to market abuse regulation
    • Monitoring adherence to best execution, trade allocation and cross trading policies
    • Monitoring compliance with global short sale regulations and shareholder disclosure obligations using the FundApps platform
    • Ensuring the CMP and associated Risk Assessments are revised as necessary
    • Reviewing whether effectiveness can be improved or efficiencies gained by automated processes or other enhancements
  • Prepare for and organize the firm for visits by Regulators
  • Identify areas of Compliance vulnerability and risk and devise/implement corrective steps
  • Liaise closely with front and back office departments as necessary
  • Advise on law & regulation in a Compliance context
  • Undertake occasional DD procedures, including KYC/AML on significant investor clients

Note that in addition to these duties employees are required to carry out such other duties as may be reasonably required.

Education and Qualifications

  • Graduate or relevant experience/regulatory approval

Experience

  • Minimum 7-10 years relevant compliance and regulatory experience
  • Experience working at a Hedge Fund, other Asset Manager, Major Regulator and/or Compliance Consultant.
  • Implementing new or revised regulations
  • Advising investment teams on exchange rules and relevant regulations; and
  • Successful candidates must have prior experience advising marketing teams on local marketing restrictions and requirements
  • Monitoring compliance with regulations including MIFID, AIFMD, MAR, and EMIR
  • Monitoring trading activities in fixed income and equity markets

Skills

  • Highly organised and self-motivated
  • Good communicator
  • Ability to work under pressure
  • Motivated, attention to detail, willing to assume responsibility
  • Ability to cultivate good internal and external relationships