Senior Compliance Officer

1 month ago

Melbourne, Victoria, Australia 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. Our goal is to produce exceptional returns facilitated by an investment research process that leverages our domain expertise across global commodity markets, supply and demand analysis and a novel AI approach.

We foster a culture of learning and collaboration among the world's most talented investment professionals, researchers, and engineers. As a fully distributed, remote-first company, our growing team is located across North and South America, Australia, and Europe. We empower our team to experiment with their ideas and create commercial solutions that propel their growth and make a real impact.

Job Description

We are seeking an exceptional individual to take on the role of Senior Compliance Officer - Commodity Hedge Fund, reporting directly to the Chief Operating Officer. The successful candidate will have extensive experience in compliance specifically across global futures and may have previously worked with a financial regulator.

The Senior Compliance Officer will ensure that compliance policies, procedures, and oversight are appropriately maintained, enforced, and updated. They will promote a culture of compliance and best practice and have responsibility and authority to develop and manage appropriate policies and procedures globally across our team, platforms, and vendors.

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.
  • NFA membership: compliance, audits, and examinations.
  • CIMA membership and reporting.
  • Australian Financial Securities License (AFSL) membership and reporting.
  • Manage 3rd-party compliance relationships.
  • Liaison with regulators.
  • Keep senior management constantly apprised of the overall compliance landscape and exposures with the commodities business as well as tracking relevant regulatory developments.
  • Reviewing and approving (as appropriate) experts, research providers, new brokers, and counterparties.
  • Review employee disclosures and personal trading pre-approval requests.
  • Development and implementation of 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.
  • ~5-10 years minimum 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

  • We offer a competitive salary ranging from $120,000 to $180,000 per annum, depending on experience, along with a comprehensive benefits package.
  • We're a remote-first, fast-growing company offering flexibility on location. Our team relies heavily on written communication skills to succeed.
  • 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 value diversity

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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