Global Head of Compliance

1 week 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.

We're a fully distributed, remote-first company with a growing team located across North and South America, Australia, and Europe.

About the Role

We'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.
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.
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.


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