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Compliance Officer (Maternity Cover)

Salary £45k to £65k
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/AXP/31349
Contact Adam Pollard
Date posted 17-04-2019

BRUIN Financial are currently partnering with a highly reputable Hedge Fund based in London who are looking for a Compliance Officer for a 12 Month Maternity Cover. This role will be covering for one of the team of four, reporting in to the Compliance Manager, and then the Director, Risk & Compliance.

As the Maternity Cover, your main duties will be:

• Completion of daily tests, including:
• Shareholding positions, for possible market disclosure, Investment Mandate adherence, Restrictions and Exposures Monitoring, Restricted List Monitoring.
• Preparation and submission of regulatory reports to FCA and SEC, including Annex IV,
• Form PF (Advise Technologies), Gabriel returns, Form ADV etc.
• Maintenance of Order Management System’s (Eze Software) Compliance Module rules
• and procedures.
• Performing elements of the Compliance Monitoring Programme, which includes the
• monitoring of operations, trading and best execution.

The ideal candidate will have:

• Professional or compliance qualifications or experience, and/or be degree-educated.
• The successful applicant would ideally also have experience of UK financial services compliance, in an asset management or funds environment.
• Knowledge of AIFMD Risk Management requirements and processes

For more information please contact Adam Pollard on 02031453348 or

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Contact Adam about this job

AVP, Consultant