Regulatory Compliance Consultant

Key Responsibilities

Enhance, draft, and maintain policies, procedures, and other compliance-related governance documents
Handle Market Soundings from external parties and manage trading restrictions and related activities
Develop and deliver compliance training and education in areas such as information barriers
Approve requests for expert network calls and access to virtual data rooms
Implement process enhancements nd support senior management with issue resolution
Conduct live training and provide support for all MNPI-related online training and education modules
Assist with planned and inadvertent receipt of material non-public information (“MNPI”)

Key Requirements

Strong experience in a similar role, ideally within another Buyside organisation
Understanding of securities laws and knowledge of regulatory requirements applicable to US investment managers, including the Market Abuse Regulation
Background ideally in fixed income, alternatives, derivatives, commodities or equity strategies offered in a variety of investment products

Please apply directly to this role if you are keen to be considered for this position.

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