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Global Head of Compliance

2 months ago

New York, New York, United States Farrer Capital Management Full time
About Farrer Capital Management

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

We are seeking an exceptional individual to take the reins as Global Head of Compliance, reporting directly to the Chief Operating Officer. This role is a critical component of our organization, ensuring that our compliance policies, procedures, and oversight are appropriately maintained, enforced, and updated.

About the Role
  • Lead the development and implementation of compliance policies, procedures, and oversight across our global operations.
  • Ensure adherence to regulatory requirements, including registration and compliance with industry standards.
  • Manage third-party compliance relationships and liaison with regulatory bodies.
  • Keep senior management constantly appraised of the overall compliance landscape and exposures with the commodities business.
  • Review and approve experts, research providers, new brokers, and counterparties.
  • Review employee disclosures and personal trading pre-approval requests.
  • Develop and implement policies, procedures, and documentation for regulatory and operational compliance.
  • Operational compliance, internal controls, and governance.
  • Risk assessment and management.
  • Trading and execution compliance, including trade surveillance.
  • Reporting and record keeping.
  • Monitoring and surveillance.
  • Internal and external reviews and audits.
  • Code of conduct.
  • Training and education.
  • Fostering a compliance culture, training, awareness, and 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.
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, regulatory bodies, and other stakeholders.
  • High level of integrity and professional ethics.
What We Offer
  • Competitive salary and performance structures.
  • Remote-first, fast-growing company offering flexibility on location.
  • Exceptional colleagues who embody a culture of authenticity, humility, and excellence.
  • Opportunity to make a lasting impact on our collective culture.
Our Commitment to Diversity

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.