Job title:
Legal & Compliance Manager – Hedge Funds
Company
Compliance Professionals
Job description
THE COMPANY:Our client is a specialist alternative asset manager. They are looking for a qualified solicitor with a minimum of three years’ post-qualification experience in a buy-side environment to join as Legal and Compliance Manager.Please note, this role requires 5 days in the office.THE RESPONSIBILITIES:Legal:
- Support the COO and the Board in managing legal matters across the firm and its fund structures, including engagement with external legal counsel.
- Monitor and mitigate legal risks, implementing appropriate controls and strategies.
- Assist in maintaining an efficient UK and offshore corporate structure for both regulated and unregulated activities.
- Oversee governance of fund entities, liaising with fund boards and company secretaries.
- Ensure fund offering documents are accurate, compliant, and up to date.
- Advise on legal aspects of investor communications and fund operations.
- Draft, review, and negotiate a range of legal agreements, including investment, counterparty, supplier, and employment contracts.
- Establish and maintain a robust legal and governance framework for the firm’s cryptocurrency program.
- Support the maintenance of HR policies and the staff handbook.
- Assist with company secretarial duties, including board meeting coordination and statutory record-keeping.
Compliance:
- Maintain and oversee the firm’s compliance framework, including the Compliance Manual, policies, and monitoring programme.
- Ensure ongoing compliance with FCA regulations (including IPRU-INV and MIFIDPRU) and US regulatory requirements (NFA/CFTC).
- Conduct regular reviews of the firm’s ICARA and risk register.
- Oversee financial crime compliance, including MLRO reviews and AML/KYC procedures.
- Qualify prospective investors as professional clients under applicable rules.
- Review and approve marketing materials and financial promotions in line with regulatory standards.
- Provide compliance guidance to the business development team, particularly on cross-border marketing rules.
- Prepare and submit non-financial regulatory filings to relevant authorities.
- Monitor staff training to ensure alignment with regulatory obligations.
- Coordinate responses to AML/KYC requests from counterparties and investment entities.
- Ensure adherence to data protection and privacy regulations.
EXPERIENCE REQUIRED:
- UK-qualified solicitor with a minimum of three years’ post-qualification experience in a buy-side legal or compliance role.
- Strong understanding of FCA and NFA/CFTC regulatory frameworks. Familiarity with MIFIDPRU/IPRU-INV is advantageous. Experience in managed futures or derivatives is preferred.
- Demonstrated experience in legal and compliance functions within an investment management or hedge fund environment.
- Working knowledge of onshore and offshore fund structures and their regulatory implications.
- Proficiency in reviewing and negotiating legal agreements and regulatory documentation.
- Strong ability to manage compliance records, policy updates, and governance processes.
- Excellent interpersonal and communication skills, with the ability to liaise effectively with internal stakeholders, external counsel, and regulatory bodies.
For further information please contact Spencer EvansAbout this roleLocation:LondonSpecialism:Salary:Up to £150,000 + benefitsType:Reference:19290
Expected salary
£150000 per year
Location
London
Job date
Sun, 13 Jul 2025 07:19:37 GMT
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