Senior Compliance Executive - Award Winning Fixed Income / Credit Hedge Fund Boutique

  • £60,000 to £90,000 basic salary, plus benefits, excellent bonus potential
  • London, England, United Kingdom
  • Permanent, Full time
  • Carnegie Consulting
  • 29 Sep 16

* Wonderful career opportunity for a passionate Compliance professional * Opportunity to work for an Award Winning Credit / Fixed Income Hedge Fund boutique * You must have compliance experience working for a boutique alternative investment manager * Possess a commercial mindset along with a high level of emotional intelligence * Career minded, but, not afraid of hard work!

The Opportunity:

  • Career defining opportunity to work for an award winning Emerging Market Credit focused Hedge Fund boutique within their London office
  • Working for an inspirational General Council (who holds both the CF10 / CF11), this role is being recruited to take ownership a lot of the compliance responsibilities thereby freeing up the General Council’s time to focus on more strategic projects as well as high level Compliance and Legal responsibilities across the Group
  • This role therefore represents a fantastic “learning” opportunity, as well as the chance to be mentored by a GC who has worked for some of the most reputable alternative asset managers around and is not afraid to pass down very challenging work once somebody has demonstrated an ability to take it on
  • In terms of specific duties / responsibilities, you will be required to liaise and work between the London offices and overseas offices (predominantly the US), and, take ownership of a wide range of compliance tasks including:
    • Policies and procedures e.g. conflicts / information barrier policy
    • PAD; FCA registrations; gifts and entertainment;
    • Overseeing the compliance monitoring plan (outsourced)
    • Liaison with consultants and auditors
    • Keeping abreast of regulatory developments in particular MiFID II
    • Compliance training
    • Shareholder notifications
    • Strong knowledge of the FCA handbook
  • If you have a legal qualification / background (not essential), then , the GC would also be willing to pass on legal responsibilities
  • Being a small and very “international” office, you will gain great experience and exposure – something that may be lacking in a structured and hierarchical larger buy-side firm


Your Experience:

  • You will have a strong record of academic achievement and a minimum of an undergraduate degree (2:1) from a Russell Group (or overseas equivalent) University
  • If you have completed a postgraduate Law qualification then that would be helpful, but, not essential
  • It is likely that you will have completed a relevant Compliance qualification e.g. CISI Diploma in Investment Compliance
  • In terms of practical experience, you MUST have worked for a buy-side business, ideally a small to medium sized hedge fund within a broad compliance role - my client’s fund is not UCITS compliant, so, knowledge of UCITS regs in NOT relevant in this case
  • Genuinely, you will be an entrepreneurial and commercial individual, who thrives on working within a small but nimble business where there is a requirement to wear multiple hats, work hard, have a high level of emotional intelligence (EI) to navigate across the multiple geographic locations
  • In terms of your length of experience, you will be at the stage of your career where you have established yourself as an accomplished Compliance Professional, you’re still passionate about the subject matter, and, want the next challenge in your career. Please note that this is very much a “hands-on” role and therefore you can’t be precious about having to do arguably less exciting tasks
  • Knowledge of Fixed Income / Credit would be useful, in particular an appreciation of a company’s debt capital structure


The Company:

  • Award winning credit / fixed income Hedge Fund with a long track record of success, with offices in multiple geographic locations
  • The boutique London office is set for further growth and has a meritocratic culture that promotes hard work and an entrepreneurial spirit
  • Absolutely super opportunity