Legal and Compliance Associate

England, London
18 Feb 2019
18 Mar 2019
Heather Ninnes
Full Time
Experience Level
Mid Level

This Legal & Compliance Associate role sits in an investment management/ technogy business founded in 2010, a small tech business run by programmers. Friendly, relaxed culture with exceptional talent.

Using cutting edge technologies and complex algorithms, trading is entirely automated.


This Legal & Compliance Associate role is based in London and involves:


You will work alongside the Head of Legal and Compliance to offer legal guidance, manage

The business's compliance monitoring program, and develop a meaningful understanding of the

business to facilitate a broad range of new initiatives.

You will undertake both core responsibilities (e.g. regulatory reporting tasks) and project-based or ad hoc work. You can expect your role to evolve as the company grows, providing a wealth of learning opportunities along the way and scope for greater exposure within the finance industry.

  • Develop and maintain your technical knowledge of the business and its activity, as well as the wider financial sector and regulatory climate in the regions in which we operate,
  • Act as a source of legal guidance across all aspects of the business including new:



data sources, including alternative data sets



  • Engage and manage external counsel where needed
  • Offer advice and/or training programs to improve understanding of related laws and regulatory requirements
  • Take an active role in regulatory, trade and transaction reporting activities, as well as a range of monitoring and checking tasks
  • Collaborate with the Head of Legal and Compliance in managing the annual compliance work plan that reflects the organisation's unique characteristics, and identifies the compliance risks associated with our current and proposed business activities
  • Review, draft and/or negotiate contracts and legal documentation across all areas of the business
  • Oversee compliance with SMCR requirements and, where appropriate, conduct gap analysis to identify and target weakness in our current regulatory architecture


This Legal & Compliance Associate role is based in London, the ideal candidate:

  • You have a strong undergraduate degree from a top-tier university*
  • You studied law either as an undergraduate or undertook the GDL (or equivalent). Ideally you are a qualified solicitor*
  • You have some experience at a UK law firm*
  • You have had some experience working with financial services clients. Experience in the hedge fund industry and/or compliance is helpful but not essential
  • You have strong communication skills, a simple, down-to-earth style when articulating ideas and are able to communicate effectively with people of varying technical abilities
  • You're comfortable working with ambiguity in a fast-paced environment
  • You're adaptable and can jump from individual contributor to collaborative team member
  • You're self-directed and can effectively, independently managing your time across various projects and priorities, taking a pragmatic and business-minded approach

*all candidates that meet the role's technical requirements will be considered

Job Offer

This role offers an opportunity to join a very successful and growing business that was founded almost ten years ago, the business has a start up feel and offers a very competitive package. Fantastic opportunity to learn and progress.

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