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Verition Fund Management LLC ("Verition") is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading.
Job Title: Compliance Analyst
Location: London, UK
Summary: We are seeking a highly motivated and detail-oriented Compliance Analyst to join our hedge fund's UK compliance team. The successful candidate will assist in ensuring that the firm adheres to all regulatory requirements, with a particular focus on the Code of Ethics, Senior Managers and Certification Regime (SMCR), and ongoing monitoring activities. This is an excellent opportunity for someone looking to build a generalist career in compliance within the financial services industry, particularly the hedge fund sector.
Key Responsibilities:
Code of Ethics Compliance:
- Monitor employee adherence to the firm's Code of Ethics, including personal trading activities and conflicts of interest
- Conduct regular reviews of employee disclosures and certifications
- Investigate and report any potential breaches of the Code of Ethics
- Assist in the development and rollout of training programmes on ethical conduct
SMCR Compliance:
- Maintain and update SMCR documentation, including registers and employee files
- Assist in the certification process for relevant staff, ensuring all requirements are met
- Support the preparation and submission of regulatory filings related to SMCR
- Monitor ongoing compliance with SMCR requirements and report issues to Head of Compliance
Monitoring and Reporting:
- Conduct regular compliance monitoring activities, including surveillance of trading activities and communications
- Maintain accurate and up-to-date compliance records and documentation
General Compliance Support:
- Conduct research on regulatory changes and assist in the implementation of necessary adjustments
- Support the compliance team in responding to compliance audit inquiries
- Assist with the roll out and tracking of online compliance training
Qualifications:
- Bachelor's degree (law, accounting, economics, business or finance preferred)
- Good understanding of financial regulations, compliance requirements, and ethical standards
- Excellent analytical and problem-solving skills
- Strong attention to detail and organizational skills
- Ability to work independently and as part of a team
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
- Strong communication and interpersonal skills
