Legal and Compliance Associate

England, London
06 Aug 2019
03 Sep 2019
Heather Ninnes
Full Time
Experience Level
Junior Level, Mid Level

This Legal and Compliance Associate role is based in Central London, the business recruiting is a quantitative investment manager, founded around 8 years ago. The business is extremely successful and has grown steadily but sensibly, this role joins the Head of Legal and Compliance Compliance and another Legal and Compliance Associate.

The business is extremely technology focused, with an environment that feels more like a technology start up than a traditional Financial Services business. The business is made up of bright and ambitious individuals, many of which are programmers.


This Legal and Compliance Associate role is based in Central London.

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

Core responsibilities:

  • Develop and maintain your technical knowledge of the business and its activity, as well as the wider financial sector.
  • Develop and maintain your technical knowledge of regulatory climate in the regions in which the business operate.
  • Act in a generalist compliance role, ensuring compliance with all relevant FCA regulations
  • Act as a source of legal guidance across all aspects of the business including new: markets, products, data sources (including alternative data sets), technologies & strategies.
  • Review, draft and/or negotiate contracts and legal documentation across all areas of the business
  • 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 current and proposed business activities
  • Oversee compliance with SMCR requirements and, where appropriate, conduct gap analysis to identify and target weakness in our current regulatory architecture


This Legal and Compliance Associate role is based in Central London.

The ideal candidate will:

  • Have a strong undergraduate degree from a top-tier university and an excellent academic record
  • Be a qualified Lawyer, either UK or foreign qualified
  • Have FCA compliance experience
  • Some experience at a UK or large international law firm is helpful
  • Experience of covering the UK jurisdiction
  • Experience of working in financial services, experience in the hedge fund industry is helpful
  • Strong communication skills, a simple, down-to-earth style when articulating ideas and are able to communicate effectively with people of varying technical abilities
  • Comfortable working with ambiguity in a fast-paced, flexible environment
  • Self-directed and can effectively, independently managing your time across various projects and priorities, taking a pragmatic and business-minded approach throughout
  • You prioritise attention to detail, supplemented by excellent troubleshooting and critical thinking skills

Job Offer

Competitive package, please enquire

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