Graham Capital Management, L.P. (collectively with its affiliates, "Graham") is an alternative investment manager founded in 1994 by Kenneth G. Tropin. Specializing in discretionary and quantitative macro strategies, Graham is dedicated to delivering strong, uncorrelated returns across a wide range of market environments. As one of the industry’s longest-standing global macro and trend-following managers, Graham remains committed to innovation, evolving its strategies through a robust investment, technology, and operational infrastructure. Graham harnesses the synergies between its discretionary and quantitative trading businesses to offer a broad suite of complementary alpha strategies, each built on the principles of thoughtful portfolio construction, active risk management, and diversification by design. Graham invests significant proprietary capital alongside its clients – including global institutions, endowments, foundations, family offices, sovereign wealth funds, investment management advisors, and qualified individual investors – reinforcing alignment of interests across all strategies.
The foundation of Graham’s sustainability and success is the experience and contributions of its people. The firm seeks to cultivate talent, encourage the diversity of ideas, and respect the contributions of all. In turn, each employee shares in the responsibility of strengthening those around them.
Description
Graham is seeking a full-time UK Compliance Officer to assume responsibility for the firm's UK regulatory compliance program, currently supported by a part-time compliance resource. The role will serve as the primary point of contact for FCA, Companies House, and ICO matters affecting the UK entity, and will work closely with the Chief Compliance Officer (CCO) and global compliance team to ensure consistency with Graham's broader compliance framework across its FCA, SEC, and CFTC/NFA obligations. The role reports functionally to the Chief Compliance Officer, with regular interaction with Graham's global compliance, legal, and finance teams, as well as the UK entity's board.
Responsibilities
- Manage the UK entity’s FCA regulatory filings and ongoing reporting obligations, including coordinating with finance, external auditors, and other advisors, as needed, in the preparation of financial statements filed with the FCA and Companies House.
- Prepare and submit all required statutory and corporate filings for the UK entity with UK Companies House.
- Manage data protection compliance and required filings with the Information Commissioner's Office (ICO), including maintenance of registration and oversight of applicable data protection obligations.
- Prepare materials for periodic UK corporate board meetings, including compliance reporting, regulatory updates, and risk and control matters.
- Administer the Senior Managers and Certification Regime (SM&CR), including annual certification, fitness and propriety assessments, Conduct Rules training, and maintenance of the Senior Managers Regime (SMR) and Certification Regime population tracking.
- Develop, coordinate, and deliver compliance training for the UK office, including new joiner onboarding and periodic training on AML, market abuse (UK MAR), and other applicable regulatory requirements.
- Develop and conduct periodic compliance testing and monitoring in coordination with the global Compliance team, including testing of UK-specific policies and procedures.
- Monitor UK and EU regulatory developments relevant to the firm's business (e.g., FCA Handbook changes, UK MAR, SYSC, SM&CR, data protection/UK GDPR) and advise management on implementation.
- Administer the firm’s Code of Ethics requirements, including reviewing and preclearing personal securities transactions, reviewing personal account statements and transaction activity, monitoring and resolving compliance alerts, and following up on potential exceptions or violations.
Requirements
- Bachelor's degree and minimum of 7 years of compliance experience at an FCA-authorised buy-side firm (asset manager, hedge fund, or similar alternative investment manager); global macro, managed futures, or systematic/quantitative strategy experience a plus.
- Demonstrated working knowledge of the FCA Handbook, including SYSC, COBS, and SM&CR requirements.
- Hands-on experience with UK Companies House filings and familiarity with UK financial statement filing requirements.
- Experience with ICO data protection registration and UK GDPR compliance obligations.
- Experience developing and delivering AML and K MAR) training programs.
- Experience supporting board and governance processes, including preparation of board materials.
- Relevant professional qualification preferred (e.g., ICA Diploma in Compliance, CISI qualifications, or equivalent).
- Strong working knowledge of UK regulatory requirements applicable to investment managers, with the judgment to identify when to escalate to the CCO or external counsel.
- Excellent written and verbal communication skills, with the ability to prepare clear, concise materials for senior management and the board.
- High degree of integrity, discretion, and sound judgment in handling confidential information.
- Strong organizational skills and the ability to manage multiple regulatory deadlines independently.
- Comfortable working within a small, hands-on UK office while coordinating closely with a global Compliance team based in the US.
- Proficiency with Microsoft Office; familiarity with compliance monitoring or GRC systems a plus.
This role requires commuting into our London office Mondays through Fridays.
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