Global Head of Compliance
1 week ago
Farrer Capital Management is a rapidly expanding global commodities hedge fund dedicated to serving institutional clients by providing market-leading results.
We're a fully distributed, remote-first company with a growing team located across North and South America, Australia, and Europe.
About the RoleWe're seeking an exceptional individual to take the reins as global head of compliance, reporting directly to the Chief Operating Officer.
This is a critical role that requires a high level of expertise in regulatory compliance, risk management, and governance.
Key Responsibilities- Regulatory Compliance & Filings:
- Ensure adherence to CFTC rules, including registration requirements for commodity pool operators (CPOs) and commodity trading advisors (CTAs).
- Comply with CFTC reporting requirements.
- Ensure NFA membership, audits, and examinations.
- Manage CIMA membership and reporting.
- Manage Australian Financial Securities License (AFSL) membership and reporting.
- Manage 3rd party compliance relationships.
- Liaison with regulators.
- Compliance Program Management:
- Review and approve experts, research providers, new brokers, and counterparties.
- Review employee disclosures and personal trading pre-approval requests.
- Develop and implement 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.
- 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.
- 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.
-
Global Head of Regulatory Compliance
5 days ago
New York County, New York, United States Farrer Capital Management Full timeAbout Farrer Capital ManagementFarrer Capital Management is a rapidly expanding global commodities hedge fund, dedicated to serving institutional clients by providing market-leading results.Our MissionOur goal is to produce exceptional returns facilitated by an investment research process that leverages our domain expertise across global commodity markets,...
-
Global Head of Compliance
1 week ago
New York, New York, United States Farrer Capital Management Full timeAbout Farrer Capital ManagementFarrer 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...
-
Global Head of Compliance
1 week ago
New York, United States Farrer Capital Management Full timeJob 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...
-
Global Head of Compliance Assurance
4 weeks ago
New York, New York, United States Chubb Full timeThe Global Head of Compliance Assurance role will be a key part of the global compliance team with a focus on leading the Compliance Assurance Program globally. The individual will lead the identification, assessment and prioritization of key compliance risks, working closely with stakeholders and the regional and local compliance officers to develop risk...
-
Global Head of Product Innovation, Ratings
1 month ago
New York, New York, United States S&P Global Full timeAbout the Role:Grade Level (for internal use):14Responsibilities and Impact:Reporting to the Head of Global Commercial Strategy, Product & Operations, the successful candidate will be responsible for leading S&P Global Ratings' Commercial Product Innovation and Development global team. In this capacity, this leader will be responsible for creating a "Think...
-
Global Head of Security
3 months ago
New York, United States DRUM Associates Full timeGlobal Head of SecurityNYC MetroThe Global Head of Security provides security solutions, alternatives, and recommendations across the full spectrum of security services, to include threat management, access control, technology integration, risk-based staffing, training, contract management, policy-development, loss prevention, incident reporting/critical...
-
Global Head of People
3 months ago
New York, United States Bluprintx Full timeJob DescriptionJob DescriptionSalary: Global Head of People (Interim)UK or USA Working at Bluprintx is more than just a job; it demonstrates that you want to be part of something big. Something exciting. Something transformational. And you’re prepared to get your hands dirty in the process. INTERESTED? Our proven, four-pillar approach takes clients...
-
Head of Global Contracts
2 weeks ago
New York, United States Barrington James Full timeRole: Head of ContractsCompany: Global Life sciences company focused in Med-TechMy client, a key player in the medical device space are looking for a Head of Contracts to join their team in a full time position. This is a key pivotal opportunity in the company for someone looking for a new exciting challenge - head of contract management where you will...
-
Global Head of Tax
24 hours ago
New York City, United States Carnegie Consulting Full timeGlobal Asset Manager is looking to hire a Global Head of Tax as part of their continued growth and global development plans.The role will see you joining an already established Tax team in New York and leading on all things tax. The majority of the focus will be on corporate rather than funds, however experience of designing strategies for transactions,...
-
Head of Compliance Strategy
2 weeks ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeHead of Compliance Strategy at Sumitomo Mitsui Banking CorporationAs the Head of Compliance Strategy, you will be at the forefront of ensuring that our investment advisory firm adheres to all regulatory standards and internal policies. This pivotal role involves leading the compliance framework within a reputable financial institution, emphasizing the...
-
Chief Legal Officer
3 days ago
New York, New York, United States CDP Global Full timeAbout the RoleWe are seeking a highly experienced and strategic Chief Legal Officer to lead our legal team and provide expert guidance on a wide range of legal matters. Reporting to the CFO, the Chief Legal Officer will play a pivotal role in ensuring CDP's compliance with relevant laws and regulations, managing legal risks, and supporting our mission-driven...
-
Lead Manager, Compliance Insights
1 week ago
New York, New York, United States Global Relay Full timeAbout Us: For over two decades, Global Relay has been at the forefront of enterprise information archiving, providing cutting-edge solutions in cloud archiving, surveillance, eDiscovery, and analytics. We specialize in securely capturing and maintaining the communications data of the world's most regulated organizations, enhancing their visibility and...
-
Head of Compliance Strategy
2 weeks ago
New York, New York, United States StoneX Group, Inc. Full timePosition Overview:As the Head of Compliance Strategy, you will take charge of all compliance-related activities within the organization, ensuring adherence to regulatory standards and internal policies. Key Responsibilities:1. Lead compliance initiatives and collaborate with various departments to support their strategic goals.2. Work in conjunction with...
-
Lead Manager, Compliance Insights
2 weeks ago
New York, New York, United States Global Relay Full timeAbout Us: For over two decades, Global Relay has been at the forefront of enterprise information archiving, offering unparalleled cloud archiving, surveillance, eDiscovery, and analytics solutions. We specialize in securely capturing and preserving communication data for some of the world's most regulated organizations, providing them with enhanced...
-
Head of Research Compliance
2 weeks ago
New York, New York, United States Amtex Systems Inc Full timePosition OverviewHead of Research ComplianceThis is a full-time, permanent role that offers the flexibility of remote work.Key ResponsibilitiesThe successful candidate will oversee compliance in research activities, ensuring adherence to regulatory standards and ethical guidelines.QualificationsEssential Requirements:A minimum of 5 years of experience in the...
-
Head of Cybersecurity Operations
2 weeks ago
New York, New York, United States Global Relay Full timeAbout Us: Global Relay has been a leader in enterprise information archiving for over two decades, providing cutting-edge cloud archiving, surveillance, eDiscovery, and analytics solutions. We specialize in securely capturing and preserving the communications data of highly regulated organizations, enhancing their visibility and control over information...
-
Lead Manager, Compliance Insights
1 week ago
New York, New York, United States Global Relay Full timeAbout Us: For over two decades, Global Relay has been at the forefront of enterprise information archiving, providing top-tier cloud archiving, surveillance, eDiscovery, and analytics solutions. We expertly capture and safeguard the communications data of the world's most stringently regulated organizations, enhancing their visibility and control over...
-
Head of Cybersecurity Operations
2 weeks ago
New York, New York, United States Global Relay Full timeAbout Us: For over two decades, Global Relay has been a leader in enterprise information preservation, offering top-tier cloud archiving, surveillance, eDiscovery, and analytical solutions. We specialize in securely capturing and maintaining the communication data of highly regulated organizations, providing them with enhanced visibility and control over...
-
Lead Manager, Compliance Strategy
1 week ago
New York, New York, United States Global Relay Full timeAbout Us: For over two decades, Global Relay has been at the forefront of enterprise information archiving, providing unparalleled cloud archiving, surveillance, eDiscovery, and analytics solutions. We specialize in securely capturing and preserving the communications data of the world's most regulated firms, empowering them with enhanced visibility and...
-
Global Head of Total Rewards
1 month ago
New York, United States Garrison Associates, LLC Full timeA Leading Global Financial Technology Company with the mission to power the world’s Alternative investment marketplace is looking for a full-time, permanent, employee for a Global Head of Total Rewards - Senior Vice President. This position can be in either Manhattan or Greenwich CT. This is a Hybrid role- 4 days in the office and 1 day Remote. ...