Key Responsibilities:

• Regulatory Compliance:
  • Ensure the fund’s operations comply with all relevant UK regulations, including those set by the Financial Conduct Authority (FCA) and other applicable international regulatory bodies.
  • Keep abreast of regulatory changes and assess their impact on the fund’s operations, advising senior management on necessary actions.
  • Develop, implement, and maintain compliance policies and procedures, ensuring they are effectively communicated and adhered to across the organization.
• Monitoring & Reporting:
  • Oversee the monitoring of trading activities, investment strategies, and other fund operations to ensure compliance with regulatory requirements and internal policies.
  • Prepare and submit required regulatory filings and reports accurately and on time.
  • Conduct regular compliance audits and risk assessments, reporting findings to senior management and recommending corrective actions where necessary.
• Advisory & Training:
  • Provide expert compliance advice to the fund’s management, portfolio managers, and other key stakeholders on regulatory requirements and best practices.
  • Develop and deliver compliance training programs for employees to ensure understanding and adherence to regulatory obligations and internal policies.
  • Act as a point of contact for regulatory inquiries and examinations, coordinating responses and managing relationships with regulators.
• Risk Management:
  • Identify, assess, and manage compliance risks related to the fund’s operations, including those associated with credit risk, market conduct, and anti-money laundering (AML).
  • Work closely with the Risk Management and Legal teams to ensure a comprehensive approach to managing compliance and operational risks.
  • Implement and oversee processes to detect, prevent, and respond to potential compliance breaches.
• Policy Development & Implementation:
  • Develop and maintain the fund’s compliance manual, ensuring it reflects current regulatory requirements and best practices.
  • Lead the implementation of compliance initiatives, including updates to policies and procedures, to address emerging risks and regulatory changes.
  • Collaborate with other departments to ensure that compliance considerations are integrated into the fund’s strategic planning and day-to-day operations.
• Stakeholder Engagement:
  • Build and maintain strong relationships with regulators, industry bodies, and other external stakeholders.
  • Represent the fund in industry forums and working groups, staying informed about industry trends and developments that could impact the compliance function.
  • Provide regular updates to the Board and senior management on compliance matters, including potential risks, breaches, and corrective actions.