the company

Job Title Execution Trader Location London Reporting Line COO Our Vision Marble Bar Asset Management (MBAM) seeks to partner with entrepreneurial, passionate and driven investment teams who aspire to build best in class firms. Access to capital, institutional infrastructure, advanced front office and risk analytics technology combined with a wealth of business and investment experience empowers portfolio manager entrepreneurs to focus on driving their strategic visions, and delivering superior performance. Our Story MBAM's business is built on the foundations that talent development, embracing technology and a relentless pursuit of excellent and continuous learning are sources of competitive advantage. Our DNA is rooted in a commitment to empower and enable exceptional investment talent. MBAM has powered the success of entrepreneurial portfolio managers since 2016, making available its trading and behavioural analytics software to Partner Firms in order to both strengthen existing partnerships and nurture newer talent via our incubator. Throughout our hiring process, we embrace a technology-led approach to identify, develop and support investment talent we feel we can with our deep investment knowledge and proprietary tools. We look for growth-minded individuals to join a culture of collaboration and learning, which in turn enhances individual talent and performance. Our Team The Centralised Execution Desk is highly engaged with several portfolio managers and various funds on the MBAM platform and provides real-time information as well as understanding and executing on their objectives. Your Role We are looking for an Execution Trader to join the Centralised Execution Desk to provide support at an established asset management firm with a long track record of running hedge funds. This is an excellent opportunity for someone looking to join a vital function within the hedge fund industry. Your Key Areas of Impact Handle trade execution across multiple asset classes; mainly focused on equity transactions Interact with portfolio managers, brokers, compliance, risk and operations teams Adherence to, and monitoring of, best execution and to comply with Marble Bar's compliance policies and procedures, Code of Ethics, and the FCA's Conduct Rules Calculating order requirements for several strategies and understanding how to execute efficiently Foster and enhance relationships with our counterparties and portfolio managers What We Are Looking For Even if you don't have every skillset/experience listed out below, you may be a great candidate for this position. So if you think you could build your knowledge and develop in this role, then we would like to hear from you. 3+ years' experience in a trading/execution role Excellent attention to detail and a proactive nature Good understanding of corporate actions and equity market structure Good knowledge of equity strategies, merger arb and derivatives An ability to question, challenge and improve process Reliable team member with the ability to work under pressure in a fast-paced environment Coding and analytics experience is preferable The role is situated in London and there is an expectation to be in the office 5 days per week. The role will require working US hours as necessary.

Key Responsibilities Maintain a compliance framework that promotes a proactive compliance culture within the firm, identifies and manages regulatory risks relevant to the business and supports the firm by the operation of an effective compliance control environment. Ensure the operation of a compliance programme that monitors for day-to-day adherence to the firm's policies and procedures, identifies areas of weakness and advise on process improvements where required. Prepare risk assessments, maintain compliance registers (inc. breaches, conflicts, complaints), implement appropriate manual and automated monitoring systems. Conduct periodic and themed reviews across the business. Collaborate with other departments to implement systems and controls, identify, investigate and resolve potential areas of vulnerability and compliance risk. Provide guidance to management and staff on the applicability of regulatory requirements in the context of the business and trading activities. Advise on regulatory requirements relevant to future planned products and material platform changes. Respond to potential breaches of rules, regulations, policies, procedures, and conduct standards by evaluating or recommending the initiation of investigative procedures and remedial steps. Ensure the firm's SMCR and conduct framework continues to be appropriate and relevant to the firm's activities at all times. Operate a regulatory training programme relevant to senior management and staff to ensure compliance requirements are understood in the context of individual roles and responsibilities. Monitor for key regulatory changes relevant to business activities, raising requirements for new projects to implement future changes in regulation. Ensure systems in place for compliance with FCA client categorisation and financial promotions rules and US marketing rules. Draft appropriate disclaimers, including for extracted and hypothetical performance data. Act as MLRO with responsibility for financial crime and sanctions risk assessments, policies, procedures, monitoring and reporting. Manage the Compliance team, ensuring sufficient resources, conducting appraisals, identifying staff development and training needs. Act as central point of contact with the FCA, SEC and other regulatory bodies relevant to the firm, responding to queries and ensuring consistent and transparent communications at all times. Ensure the firm's regulatory permissions, regulatory filings and staff registrations are accurate and up to date at all times. Attend and contribute to committees including the Audit and Risk Committee. Represent Compliance for the purposes of internal and external audits and investor due diligence. Review legal documentation relating to funds, managed accounts, and service providers. Maintenance of fund and investor documentation i.e. offering memorandum, prospectus, side letters, NDAs, service provider agreements. The Candidate Essential: 10+ years' relevant asset management industry experience in the field of compliance and legal with previous experience as SMF16/17 Demonstrable expertise on global regulations including FCA and SEC rules Demonstrable knowledge of fund structures including Cayman Islands alternative investment funds, US private funds, EU UCITS funds, and separately managed accounts Knowledge and ability to institute compliance frameworks Proven team management skills including the ability to work with, and incorporate input from, the compliance team and senior management Ability to multi-task and prioritise within a fast-paced environment Desirable: Law degree or law conversion, ability to provide legal guidance and be the lead on advice across policies and procedures Regulatory hosting experience