Compliance Officer / Assistant Compliance Officer

The RoleNigel Wright have been appointed to support Neptune North with multiple hires into their Newcastle office. Neptune North are a Joint Venture between Oliver Wyman and Rokos Capital Management specialising in providing premium technology consulting services. Neptune North pride themselves on employing and developing the very best talent in the North East. As such, if you are keen on a fast paced and dynamic environment, offering a prestigious work experience and career development this role could be for you. Responsibilities We are seeking a Compliance Officer / Assistant Compliance Officer who is highly motivated and detail oriented to join a dynamic and high-performing team working for one of the world's leading global hedge funds. The individual will play a meaningful role in supporting the delivery of a comprehensive, multi-jurisdictional compliance programme, gaining broad exposure across all pillars of compliance including policies and procedures, training, monitoring,
regulatory advisory and regulatory change management.The role requires an individual who is intellectually curious, highly organized and capable of operating effectively in a fast-paced demanding environment. The successful candidate will work closely with senior members of the Compliance team and engage regularly with front office, operations, legal and risk colleagues.As Compliance Officer, responsibilities will typically include:Compliance Advisory & Investment SupportProvide pragmatic compliance advice to Investment, Research and Trading teams across fixed income, equities, commodities, derivatives and other products. Support decision-making on new instruments, counterparties, funds, technologies and data/research onboarding.Regulatory AdvisoryAnalyse and advise on UK, US and international regulatory requirements, including FCA Conduct of Business, prudential rules, SMCR, SEC Investment Adviser regulations, and exchange-specific obligations (e.g. position limits, short-selling and
disclosures).Regulatory Change & GovernanceTrack regulatory developments and enforcement activity, assess impact, and implement required changes. Conduct gap analyses and enhance the compliance framework to meet evolving standards.Core Compliance ProgrammeMaintain and enhance the firm's compliance programme, including:Policy development, periodic reviews, version control and firmwide communicationMapping policies to regulatory requirements across jurisdictionsSupporting regulatory filings (FCA, SEC, FSRA Abu Dhabi, MAS Singapore)Maintaining filings calendars and disclosures (including short selling)Monitoring, Surveillance & ReportingSupport the compliance monitoring programme, including thematic and transaction reviews. Monitor trading activity and electronic communications for market abuse (Trading Hub, Global Relay). Produce MI for best execution and gifts & entertainment governance.TrainingDeliver face-to-face compliance induction and specialist training (e.g. market abuse, research
controls). Propose enhancements to training delivery and manage computer-based training completion.Financial CrimeSupport sanctions and AML frameworks and controls.Automation & ScaleIdentify opportunities to automate and enhance compliance processes, with a focus on AI-enabled solutions to support business growth.Stakeholder ManagementPrepare materials, dashboards and KPIs for internal committees and senior management. Act as a representative of Legal & Compliance, liaising with staff globally, regulators, external advisors and counsel, and providing regular reporting to the Head of Compliance.The PersonWhat makes a great candidate In order for you to get the most out of this role, you'll need to have: Experience: 3-5 yrs relevant experience, although for the Assistant role less experience would be accepted. For a graduate candidate we are looking for someone with a keen interest and passion to learn and develop Regulatory Knowledge: Strong understanding of FCA regulations, plus
ideally working knowledge of SEC and/or FSRA/MAS rules Product Knowledge: Solid familiarity with fixed income, equities and other financial products Business Alignment: Skill in combining compliance/regulatory expertise with a good understanding of products and markets, ensuring alignment with the goals of the business Mindset: Intellectually curious with a genuine interest in financial markets and the regulatory landscape Adaptability: Enthusiasm for multi-tasking and thriving in a dynamic work environment Ethical Foundation: Discreet, professional, and trustworthy, with a strong sense of personal and professional integrity. Sound judgment, and effective decision-making, especially in high-pressure situations; willingness to challenge conventional thinking. Collaboration: A team-player approach, holding colleagues to the same standards that they hold themselves Drive and Resilience: High energy, drive for excellence, stamina and ability to excel in a fast-paced
environment Relationship Building: Strong relationships within the industry and among peers Academic Success: An excellent academic record, including as a minimum a 2:1 degree in a relevant subject from a Russell Group university, and strong A Levels (or international equivalents) We would also prefer you to have Market Rules: Familiarity with exchange rules, position limits, short sale restrictions, and disclosures Additional Regulatory Knowledge: Detailed knowledge of one of SEC, FSRA/MAS rules, or management rules in the UAE and Singapore Systems: Familiarity with some of the following compliance systems - Global Relay, FundApps, Aosphere, TradingHub, Compliance Science, FCA Connect, FCA RegData, FINRA Gateway, EDGAR portal, SEC IARDNext Steps Please contact for further details