Compliance Analyst 

London (Central), London (Greater)
Market rate
24 Aug 2018
27 Sep 2018
Contract Type
Full Time

Job Title: Compliance Analyst 

Employer: Rokos Capital Management LLP

Location: Mayfair, London

Salary: Market rate        

Duration: Permanent

Closing date for applications: 27 September 2018

Who we are

Rokos Capital Management LLP (“RCM”) is a hedge fund manager founded in 2015 and currently has over 110 employees between our London headquarters and Washington, D.C. research office. The Firm manages a global macro hedge fund that targets consistent long-term returns for our investors within a well-defined risk framework. The fund is active in the major macro asset classes: interest rates, FX, equities, as well as emerging markets, credit and commodities.

Our values

At RCM, our culture is driven by teamwork, our ability to analyse and solve complex problems, and our embedded ‘QED’ ethos: you will work alongside exceptional people who question consensus, maintain high ethical standards and are continually demanding of themselves.

Our Legal & Compliance Team

Compliance is fundamental to every aspect of our business – RCM strives to ensure that we understand and meet all applicable regulatory obligations across the various jurisdictions where we conduct our business.  RCM’s Legal & Compliance team includes both qualified lawyers and experienced regulatory and compliance professionals, combining significant prior experience of buy-side, sell-side and law firm environments.  Working closely with each other, our mission includes developing clear, accurate policies, processes, training and advice to ensure all areas of the firm understand and comply with the regulatory framework applicable to them.  

We seek to understand and proactively predict the future regulatory and compliance landscape to ensure the firm continues to meet its obligations as both global regulation, and our business, evolves.  The Legal & Compliance team works closely with all areas of the business including the investment team, operations/middle office, risk management, finance, fund accounting, investor relations and research.

We encourage ownership and responsibility; everyone has the opportunity to make a significant impact on the team and the firm as a whole.  We strongly believe in continuous improvement, of both our processes and our people, and we welcome creative thinking to evolve and improve the firm’s compliance programme as the firm grows.

How will your day look?

Working closely with the firm’s Senior Compliance Officer, the Head of Compliance/General Counsel and Senior Counsel and sitting within a Legal and Compliance Team of four, the Compliance Analyst’s primary responsibilities will include:

  • Running the firm’s compliance and financial crime monitoring programme in order to meet external regulatory and investor expectations
  • Proposing and implementing enhancements to the firm’s monitoring programme in line with regulatory and market developments
  • Maintaining the Compliance registers
  • Running the logistical aspects of the firm’s Compliance training programme, which will include both in person and online training
  • Having primary responsibility for approving and monitoring personal account securities transactions, outside business interest and gifts and entertainment
  • Managing the firm’s Compliance regulatory filings
  • Producing regular reporting for the Legal & Compliance team and senior management
  • Acting as a first class ambassador for the compliance function within the firm. Building strong relationships across the organisation including in the Investment Team, Risk, Finance, Fund Control, Investor Relations and Research.

What are the key skills of successful candidates?

In order for you to get the most out of this role, you’ll need to have:

  • Outstanding academics: minimum A grades at A-Level (or international equivalent) in strong academic subjects and minimum 2:1 undergraduate degree in a relevant subject from a top university (or equivalent global institution)
  • Demonstrable recent relevant experience, in particular, experience in a relevant role in a Compliance function on the buy side or sell side, gained working in a leading Hedge Fund or Investment Bank
  • Experience of compliance monitoring or surveillance
  • Detailed knowledge of the Market Abuse Regulation (MAR) including an understanding of key MAR offences
  • Project or change management experience in MAR, preferably with experience of implementing new surveillance tooling
  • Experience of surveillance lexicon enhancement
  • Strong preference for wider regulatory experience, particularly in the AML space, and experience of having led compliance processes within such areas
  • Experience of having conducted due diligence on clients or service providers
  • Experience of having managed multiple internal stakeholder interests
  • Demonstrable understanding of the product set traded by a macro hedge fund
  • A proactive and entrepreneurial mind-set
  • The ability to own and follow a task to completion
  • Exceptional communication skills, organisation and attention to detail
  • Capacity to manage competing priorities within a fast-paced environment.