Compliance Manager

Summary:

The primary responsibility of the Compliance Manager is to assist the Chief Operating Officer (COO) in upholding the firm’s compliance monitoring program. This involves maintaining, enforcing, and updating compliance policies, procedures, and oversight as needed. Additionally, the Compliance Manager assists in relevant legal matters for the Company and its funds, coordinating with external advisors when required.

Duties include:

Compliance:

The firm’s investment management activity via its fund is regulated by the FCA (including IPRU-INV and MIFIDPRU prudential sourcebooks) and the NFA/CFTC.

Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations. Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment. Assess, monitor and manage regulatory risk and implement appropriate policies and procedures. Ensure the ICARA and risk register are maintained and regularly reviewed. Maintain MLRO reviews and financial crime oversight. Qualify prospective investors as professional clients. Review and approve marketing materials and other financial promotions. Provide compliance advice to the business development function including jurisdictional marketing rules. Prepare and submit non-financial regulatory filings. Coordinate AML/KYC requests from counterparties and investment entities. Ensure privacy and data protection rules are adhered to. Monitor staff training against regulatory requirements.

Legal:

Assist with legal matters, manage relationships with external counsel, and oversee legal budget and spend. (Responsibility covers both offshore fund entities and the UK-domiciled management entity.) Assist in monitoring and managing legal risk, implementing controls and mitigation strategies. Assist in establishing and maintaining an efficient UK company structure for regulated and non-regulated activities. Assist in overseeing fund entity governance, liaising with the fund board and company secretary. Ensure fund offering documents remain up-to-date and compliant. Advise on legal aspects of investor communications. Assist in drafting, reviewing, and negotiating legal documents (e.g., investment, counterparty, supplier agreements, and employment contracts). Assist with oversight of the staff handbook and HR policies/procedures. Assist in company secretary duties, including organizing board meetings and maintaining statutory records.

Requirements:

Regulatory Knowledge - Experience with NFA/CFTC and FCA rules (familiarity with MIFIDPRU/IPRU-INV a plus). Managed futures/options experience . Compliance/Legal Background - Experience in compliance or legal support within financial services. Fund Structures & Compliance - Awareness of onshore/offshore funds and associated regulatory considerations. Documentation Skills - Exposure to contract review and legal documentation. Organizational Skills - Ability to manage policy updates, record-keeping, and governance tasks. Communication Skills - Strong liaison skills for internal/external stakeholder coordination