THE COMPANY: Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side.
THE RESPONSIBILITIES:
Maintain policies, procedures, systems and controls governing IPO and divestment activities.
Oversight of compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with international regulators (US, India, HK) as the business crosses disclosure thresholds.
Implementation of MNPI protocols for IPO and divestment activity, on a pre and post trade basis.
Perform gatekeeper role for market soundings/wall crossings initiated or received by the ECM team.
Oversight of surveillance protocols to ensure CSG compliance with applicable conduct of business rules, including but not limited to e-comm surveillance, recorded lines, transaction record keeping, best execution and proxy voting.
Execution of regulatory and reputational due diligence for execution counterparties.
EXPERIENCE REQUIRED:
At least 6 years' experience of operating in in-house Compliance roles with public markets oversight - investment bank trading floor advisory or hedge fund would be most appropriate.
Deep understanding of US securities trading laws and regulations, including disclosure of ownership under Section 13 and Section 16 of the Securities Exchange Act of 1934 ("Exchange Act"), short swing profits liability rules under Section 16(b) of the Exchange Act, Rule 144 under the Securities Act of 1933, Rule 10(b)-5 of the Exchange Act, and other federal insider trading laws.
Knowledge of any of: Eflow, Behavox, Enfusion and ACA Compliance technology products would be helpful.
For further information please contact Spencer Evans.
