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About the Role
Graham Capital Management is seeking a full-time UK Compliance Officer to manage the firm's UK regulatory compliance program. This role serves as the primary contact for FCA, Companies House, and ICO matters, ensuring consistency with the global compliance framework.
Responsibilities
- Manage the UK entity’s FCA regulatory filings and ongoing reporting obligations.
- Coordinate with finance, external auditors, and advisors for financial statements filed with the FCA and Companies House.
- Prepare and submit all required statutory and corporate filings for the UK entity with UK Companies House.
- Manage data protection compliance and filings with the Information Commissioner's Office (ICO).
- Oversee applicable data protection obligations.
- Prepare materials for periodic UK corporate board meetings, including compliance reporting, regulatory updates, and risk and control matters.
- Administer the Senior Managers and Certification Regime (SM&CR), including annual certification, fitness and propriety assessments, Conduct Rules training, and population tracking.
- Develop, coordinate, and deliver compliance training for the UK office.
- Onboard new joiners and provide periodic training on AML, market abuse (UK MAR), and other applicable regulatory requirements.
- Develop and conduct periodic compliance testing and monitoring in coordination with the global Compliance team.
- Test UK-specific policies and procedures.
- Monitor UK and EU regulatory developments relevant to the firm's business.
- Advise management on the implementation of regulatory changes.
- Administer the firm’s Code of Ethics requirements.
- Review and preclear personal securities transactions.
- Review personal account statements and transaction activity.
- Monitor and resolve compliance alerts.
- Follow up on potential exceptions or violations.
Requirements
- Bachelor's degree and minimum of 7 years of compliance experience at an FCA-authorised buy-side firm.
- Demonstrated 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 K MAR) training programs.
- Experience supporting board and governance processes, including preparation of board materials.
- Strong working knowledge of UK regulatory requirements applicable to investment managers.
- Ability to identify when to escalate issues to the CCO or external counsel.
- Excellent written and verbal communication skills.
- Ability to prepare clear, concise materials for senior management and the board.
- High degree of integrity, discretion, and sound judgment in handling confidential information.
- Strong organizational skills.
- Ability to manage multiple regulatory deadlines independently.
- Comfortable working within a small, hands-on UK office while coordinating closely with a global Compliance team based in the US.
- Proficiency with Microsoft Office.
- Familiarity with compliance monitoring or GRC systems is a plus.
- Relevant professional qualification preferred (e.g., ICA Diploma in Compliance, CISI qualifications, or equivalent).
Skills
- FCA regulatory filings
- UK Companies House filings
- ICO data protection
- UK GDPR compliance
- Senior Managers and Certification Regime (SM&CR)
- AML training
- Market abuse (UK MAR) training
- Compliance testing
- Compliance monitoring
- UK regulatory developments
- Code of Ethics administration
- Personal securities transaction review
- Microsoft Office proficiency
Location
- London
Work Type
- Full-time
- Onsite
Experience Level
- 7+ years compliance experience
Education Level
- Bachelor's degree
About the Company
- Graham Capital Management, L.P. is an alternative investment manager founded in 1994. Specializing in discretionary and quantitative macro strategies, Graham aims to deliver strong, uncorrelated returns. As a long-standing global macro and trend-following manager, Graham is committed to innovation and evolving its strategies through a robust infrastructure. The firm harnesses synergies between its discretionary and quantitative trading businesses to offer complementary alpha strategies. Graham invests significant proprietary capital alongside its clients, reinforcing alignment of interests. The firm cultivates talent, encourages diversity of ideas, and respects all contributions.