Director of Compliance - Larson Maddox

Overview

We are partnering with an established global alternative investment manager to appoint their Director of Compliance.

The firm operates across multiple asset classes and investment strategies, serving an institutional client base through a well-established international platform. Its London operation is entering a period of further investment, with growth across several functions and an increasingly important role within the wider business.

The London business offers the access, autonomy and influence of a lean investment platform, backed by the resources of an established global manager. With continued investment into the London operation, this is an opportunity to take on meaningful ownership now while positioning yourself for broader responsibility as the platform grows.

The Opportunity

The successful candidate will become the go-to compliance professional in London, assuming broad ownership of the UK regulatory environment while working closely with senior leadership internationally.

The mandate offers considerable autonomy and direct exposure to decision-makers across the business. You will be trusted to navigate complex regulatory matters, shape the local compliance framework and act as a senior adviser as the London platform continues to develop.

For someone currently operating within a larger hedge fund or asset management compliance team, this represents an opportunity to step into a more influential and visible position without compromising on the calibre or sophistication of the investment platform.

Responsibilities

• Take ownership of the UK compliance framework, providing guidance on regulatory matters affecting the investment business.
• Lead key FCA regulatory requirements and assess the impact of regulatory developments.
• Oversee SM&CR, including certification, fitness and propriety and Conduct Rules.
• Shape and execute the firm's compliance monitoring and testing programme.
• Advise on market conduct, regulatory change and compliance risk across the business.
• Oversee personal account dealing and employee compliance, including trade approvals, monitoring and exceptions.
• Provide compliance and regulatory insight to senior leadership and governance forums.
• Partner with international colleagues on matters spanning the firm's wider regulatory framework.

Required Qualifications

• 6+ years' compliance experience, with substantive experience within an FCA-regulated buy-side environment.
• Experience within a hedge fund, alternative investment manager or asset manager.
• Experience supporting multi-asset investment or trading activities, ideally including FX, futures and equities.
• Strong practical knowledge of the FCA regulatory environment and SM&CR.
• Broad experience across compliance monitoring, market conduct, regulatory change and employee dealing.
• Demonstrated ability to operate independently, exercise sound regulatory judgement and take ownership of complex matters.
• An ICA, CISI or comparable compliance qualification would be advantageous.