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Global Head of Compliance

2 months ago

New York, United States Farrer Capital Management Full time
Job DescriptionJob DescriptionAbout Us

Farrer Capital is a rapidly expanding global commodities hedge fund, dedicated to serving institutional clients by providing market leading results.

Our goal is to produce exceptional returns facilitated by an investment research process that leverages our domain expertise across global commodity markets, supply and demand analysis and a novel AI approach.

At Farrer Capital, we foster a culture of learning and collaboration among the world's most talented investment professionals, researchers, and engineers. We’re a fully distributed, remote-first company, with our growing team located across North and South America, Australia, and Europe.

We empower our team to experiment with their ideas and create commercial solutions that propel their growth and make a real impact.

Who We Are Looking For

We are seeking an exceptional individual to take the reins as global head of compliance, reporting directly to the Chief Operating Officer. You must have extensive experience in compliance specifically across global futures and may have even previously worked with a financial regulator.

The successful candidate will ensure that compliance policies, procedures, and oversight are appropriately maintained, enforced, and updated. They will promote a culture of compliance and best practise and have responsibility and authority to develop and manage appropriate policies and procedures globally across our team, platforms and vendors.

Key Responsibilities

Regulatory Compliance & Filings (including but not limited to):

  • CFTC Regulations: Ensure adherence to CFTC rules, including registration requirements for commodity pool operators (CPOs) and commodity trading advisors (CTAs). Comply with CFTC reporting requirements.
  • NFA membership: compliance, audits and examinations.
  • CIMA membership and reporting.
  • Australian Financial Securities License (AFSL) membership and reporting.
  • Manage 3rd party compliance relationships.
  • Liaison with regulators.
  • Keep senior management constantly appraised of the overall compliance landscape and exposures with the commodities business as well as tracking relevant regulatory developments.
  • Reviewing and approving (as appropriate) experts, research providers, new brokers and counterparties.
  • Review employee disclosures and personal trading pre-approval requests.
  • Development and implementation of policies.
  • Compliance policy and procedure documentation (regulatory and operational).
  • Operational compliance.
  • Internal controls and governance.
  • Risk assessment & management.
  • Trading and execution compliance (including trade surveillance).
  • Reporting and record keeping.
  • Monitoring and surveillance (both e-comms and trading surveillance).
  • Internal and external reviews & audits.
  • Code of conduct.
  • Training and education.
  • Fostering compliance culture, training, awareness & programs.
  • Third-party service providers – monitor and compliance.
  • Technology and systems: Ensure that trading and compliance systems are secure, reliable, and compliant with industry standards.
  • Investor communications.


Note some international travel to visit trading personnel and senior management may be required from time to time.

Requirements

About You
  • Bachelor’s degree in Finance, Law, Business Administration, or a related field; advanced degree or professional certifications preferred.
  • Minimum of 10 years of experience in compliance within the financial services industry, with a focus on hedge funds or asset management.
  • Strong knowledge and experience of Fixed Income and Commodities.
  • Strong knowledge of regulatory requirements and industry standards applicable to a commodity hedge fund.
  • Proven experience in managing compliance programs and leading training, education and culture creation.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Strong communication and interpersonal skills, with the ability to interact effectively with senior management, regulators, and other stakeholders.
  • High level of integrity and professional ethics.

Benefits

  • Our commitment to high performance outcomes is reflected in competitive salary and performance structures.
  • We’re a remote-first, fast-growing company offering flexibility on location.We rely heavily on our written communication skills in order to make it work.
  • You will be surrounded by exceptional colleagues who embody a culture of authenticity, humility, and excellence. We encourage you to make a lasting impact on our collective culture.

We believe that diversity is critical to our success. We will not discriminate on the basis of race, religion, national origin, gender identity or expression, sexual orientation, age, or marital, veteran, or disability status.