As the Senior Manager Compliance-UK, you will oversee the UK and EU compliance obligations for our fast growing quant trading hedge fund. These obligations include but are not limited to overseeing all of our European trade and investor reporting obligations, managing all of our contact with the UK and EU regulators, conducting all required compliance training for our UK based employees, managing the UK and EU AML and privacy obligations for our global operation and assisting our US based compliance team with certain key obligations for the US trading operation that may occur during UK hours or involving UK or EU markets.
This role is crucial to Voleon’s UK and EU expansion strategy and ensures that the company will stay within the bounds of the regulatory requirements in these new jurisdictions.
This role is open to hybrid work in our London office.
Responsibilities
Oversee all UK and EU trade reporting and regulatory filing responsibilities for the hedge fund complex
Draft and maintain appropriate policies and procedures for our UK and EU based teams that appropriately address all compliance training, AML and privacy requirements as well as all local regulatory requirements
Conduct compliance trainings for the UK based team
Assist the US based regulatory teams with critical responsibilities related to executing on the US regulatory program that may occur during UK trading hours
Serve as a liasion to the UK an EU regulators on behalf of the Global CCO
Requirements
7-10 years of experience in a regulated trading environment. Examples include a hedge fund, a market maker, a retail brokerage firm or a bank trading operation.
Demonstrated experience working in the UK an EU regulatory environment with strong knowledge of the basic regulatory framework as well as key rules related to asset management, AML, privacy and related concepts.
Great written and spoken communication skills. Excellent English language proficiency is a requirement. Additional fluency in French or German is highly desirable.
Familiarity with the operation of the stock, options, futures and bond markets
Bachelor’s degree is required
- International experience in the EMEA region, previous work experience in the United States a plus
