Grahamcapitalmanagement
Compliance Officer
London, England, United Kingdom. Posted 10 days ago
The role
The Compliance Officer will manage the firm's UK regulatory compliance program. This includes handling FCA, Companies House, and ICO matters while working with the Chief Compliance Officer and global teams.
What you will do
- Manage UK entity FCA regulatory filings and ongoing reporting obligations.
- Prepare and submit statutory and corporate filings with UK Companies House.
- Manage data protection compliance and filings with the ICO.
- Prepare materials for periodic UK corporate board meetings.
- Administer the Senior Managers and Certification Regime.
- Develop, coordinate, and deliver compliance training for the UK office.
- Develop and conduct periodic compliance testing and monitoring.
- Monitor UK and EU regulatory developments and advise management.
- Administer the firm's Code of Ethics requirements.
Required qualifications
- Bachelor's degree
- Minimum of 7 years of compliance experience at an FCA-authorised buy-side firm
- Working knowledge of the FCA Handbook, including SYSC, COBS, and SM&CR requirements
- Hands-on experience with UK Companies House filings
- Familiarity with UK financial statement filing requirements
- Experience with ICO data protection registration and UK GDPR compliance obligations
- Experience developing and delivering AML and UK MAR training programs
- Experience supporting board and governance processes
- Strong working knowledge of UK regulatory requirements applicable to investment managers
- Excellent written and verbal communication skills
- High degree of integrity, discretion, and sound judgment
- Strong organizational skills
Nice to have
- Global macro, managed futures, or systematic/quantitative strategy experience
- Relevant professional qualification (e.g., ICA Diploma in Compliance, CISI qualifications, or equivalent)
- Familiarity with compliance monitoring or GRC systems
About the company
Graham Capital Management, L.P. is an alternative investment manager founded in 1994. It specializes in discretionary and quantitative macro strategies.