North Rock Capital Management, LLC
Compliance Associate
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About the Company
North Rock Capital Management, LLC (“North Rock”) advises approximately $6.2 billion deployed in a multi-manager strategy primarily focused on relative value equity portfolio management teams. North Rock is a wholly owned subsidiary of Lighthouse Investment Partners, LLC (“Lighthouse”) a global diversified alternative asset management firm that has a 22-year history of delivering innovative solutions to institutional investors. North Rock and Lighthouse are indirect wholly owned subsidiaries of Navigator Global Investments Limited (NGI), an Australian Securities Exchange-listed company. Lighthouse is an SEC-registered investment adviser, and North Rock relies on Lighthouse’s registration as a single advisory business. North Rock has offices in New York, Chicago, and Palm Beach Gardens, in addition to London, Hong Kong, Singapore and Dubai.
About the Role
North Rock is currently seeking a Compliance Associate in its FCA-authorised London office to provide generalist support and assistance in the implementation of the UK and global compliance program. The individual will report to North Rock UK’s Chief Compliance Officer, SMF 16, and be part of a 4-person local compliance team. Currently this is a hybrid role with flexibility to work remotely.
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Responsibilities
- Reporting and disclosures including, inter alia, short/long position disclosures and MiFIR transaction reporting.
- Processing market soundings, early-look meeting requests and Reg M review requests, including adding/removing trading restrictions to/from the Firm’s restricted lists.
- Compliance monitoring, including communications, trades/orders and best execution.
- Administration of Fitness and Propriety reviews under the FCA Certification Regime, plus regulatory reference requests received by the Firm.
- Reviewing and documenting trade errors.
- Vendor due diligence.
- Responding to compliance related queries from front office and other staff on regulatory matters and various internal policies and procedures.
- Assisting with the delivery of periodic compliance training.
- Implementation of various aspects of the Compliance Monitoring Programme, including involvement in ad hoc projects.
- Working with technology, IT and operational colleagues regarding daily compliance processes.
- Assist with the monitoring of domestic and international policy and regulatory developments.
Qualifications
- 4-8 years’ financial regulatory experience at an asset manager investment bank, or other relevant organisation.
- Experience in an equity trading advisory role.
- Ideally experience of significant net short position disclosure rules in the UK and EEA, and/or of MIFIR transaction reporting.
- Bachelor's degree (2:1 or above) or equivalent.
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Required Skills
- Strong interpersonal and team-working skills, with the ability to work independently also.
- Excellent written and verbal communications skills, in particular the ability to communicate clearly and effectively with front-office staff.
- Self-motivated, with an emphasis on achieving goals and completing daily tasks efficiently with excellent attention to detail.
- Strong analytical and problem-solving skills, including the ability to understand and respond to questions regarding complex regulatory and internal policy requirements.
- Excellent organizational skills.
Pay range and compensation package
Competitive salary, discretionary bonus and benefits package. North Rock offers a full range of benefits including medical, dental, life insurance, paid time-off, disability, and retirement plan.
Equal Opportunity Statement
North Rock is committed to diversity and inclusivity.
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