Compliance Officer

Mizuho UK

Base: $125,000 - $165,000; bonus/equity: discretio...
Hybrid
8 years registered investment adviser experience
Knowledge of investment adviser act of 1940
Experience with sec and cftc regulations
The role involves providing compliance support to ensure the firm's programs are implemented and enforced according to federal regulations

Job Summary

  • The role involves providing compliance support to ensure the firm's programs are implemented and enforced according to federal regulations.
  • Candidates will conduct daily surveillance activities including personal trade reviews, conflicts management, and electronic communications monitoring.
  • Successful candidates are eligible for a discretionary bonus in addition to a competitive base salary and generous employee benefits package.

Matching Summary

The role involves providing compliance support to ensure the firm's programs are implemented and enforced according to federal regulations.

Salary

Base: $125,000 - $165,000; Bonus/Equity: Discretionary bonus available; Benefits: Generous employee benefits package

Skills & Requirements

Must-have

  • 8 years registered investment adviser experience
  • Knowledge of Investment Adviser Act of 1940
  • Experience with SEC and CFTC regulations
  • Code of Ethics supervision and enforcement
  • Regulatory filing preparation (Form ADV, Form PF)

Nice-to-have

  • Experience with quantitative strategies
  • Knowledge of banking regulations
  • Experience with performance calculations
  • Familiarity with ComplySci and ComplianceAlpha
  • Work experience in a large financial group

Key Requirements

  • Minimum 8 years of compliance experience
  • Registered investment adviser or hedge fund background
  • Knowledge of Investment Company Act requirements

Work Rights

Not specified

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