Global Head of Regulatory Compliance

6 days ago

New York County 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.

Our Mission

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.

Our Culture

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.

Our Approach

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

Job Summary

We are seeking an exceptional individual to take the reins as Global Head of Regulatory 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.

Key Responsibilities

  • Ensure that regulatory policies, procedures, and oversight are appropriately maintained, enforced, and updated.
  • Promote a culture of compliance and best practice.
  • Develop and manage appropriate policies and procedures globally across our team, platforms, and vendors.
  • Manage 3rd party compliance relationships.
  • Liaison with regulators.
  • Keep senior management constantly apprised 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.

Requirements

  • 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.

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