Senior Compliance Manager

Rote Title: Senior Compliance Manager

Department: Compliance

Location: New York 

Permanent

Department overview:

Compliance is an experienced team based in London, New York and Singapore. The team is supported by the Legal team, Operations Technology, Operations, Market Risk and Fund Accounting.  The Head of Compliance is based in London and reports to the Global COO who sits on the Executive Committee of the investment manager, which is based in Jersey, Channel Islands.

The Compliance team currently has five people based in London covering offices in the UK, USA, Dubai, Geneva, and Jersey, and one compliance officer based in Singapore covering the Singapore office. The plan is to hire into the New York Compliance role an experienced Senior Compliance Manager with equity capital markets experience.

Role overview:

The candidate will work within a team of seven, with a direct report to the Head of Compliance, and will lead on equity capital markets compliance, restricted information handling and wall crossings, as well as trade and communications surveillance monitoring.

Responsibilities include the following:

• Lead on systems and controls for the Equity Capital Markets trading team, including corporate communications and information handling, wall crossings, and expert network contact. This will include policies and procedures, maintenance of a meetings calendar and review of related notes.
• Responsible for compliance systems and controls audits of the Equity Capital Markets activities including IPOs, block trades, ‘testing the waters’, and deal contingent hedge enquiries.
• Responsible for updating policies and procedures for the Equity Capital Markets business with input from US Legal.
• Responsible for required training for members of the Equity Capital Markets business.
• Responsible for procedure for SEC Regulation M Rule 105 anti-manipulation rule and to provide approval for the business to participate in secondary new issues.
• Experience handling activity on expert network platforms and applying requisite controls;
• Assist with trade surveillance monitoring and input into a review of surveillance systems.
• Ad hoc compliance projects and duties as required

Experience required:

• Relevant experience in a compliance role in the US at a bank, broker/dealer, or hedge fund
• Proven experience managing the handling of information process and wall crossing or control room procedure and providing related advisory support.
• Advisory experience;
• Strong knowledge of the equity capital markets;
• Confident in managing wall crossing policies and procedures and MNPI handling;
• Experience working with Legal in conflict situations requiring specific advice from Legal;

About you:

• Experienced self-starter;
• Capable of holding the line with front office staff in pressured circumstances;
• Team player working with other stakeholder teams;
• Strong moral code.

BlueCrest is committed to providing an inclusive environment for its workforce. As an employer, we provide equal opportunities to all people regardless of their gender, marital or civil partnership status, race, religion or ethnicity, disability, age, sexual orientation or nationality.