---
title: 'Compliance Officer at Graham Capital Management, L.P.'
canonical: 'https://feeny.ai/job/compliance-officer-graham-capital-management-l-p-london-79r7czva324z'
type: 'job'
last_seen: '2026-11-08'
---

# Compliance Officer at Graham Capital Management, L.P.

- **Company:** Graham Capital Management, L.P.
- **Location:** London, United Kingdom
- **Posted:** 2026-11-03
- **Last confirmed live:** 2026-11-08
- **Apply:** https://boards.greenhouse.io/grahamcapitalmanagement/jobs/4750898005?gh_jid=4750898005

## Job description

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.

## About Graham Capital Management, L.P.

## Company Overview
- **One-liner**: Graham Capital Management is a global alternative investment firm that manages macro trading strategies by combining quantitative and discretionary approaches to generate alpha for institutional and private wealth clients.
- **Entity Type**: Private (established hedge fund; funded by proprietary capital and reinvested profits; no external venture funding)
- **Headquarters**: Rowayton, Connecticut, USA (with offices in New York City, West Palm Beach, Florida, and London, UK)
- **Founded**: 1994
- **Founders**: Kenneth G. Tropin (Chairman and Founder)

## Core Business
- **Primary industry/industries**: Alternative asset management / Hedge funds / Macro trading
- **Target customers**: Institutional investors (pension funds, endowments, foundations) and private wealth partners (B2B, institutional)
- **Mission or purpose statement**: To help clients meet their unique portfolio objectives through thoughtful risk management, investment, and governance frameworks with a high level of transparency.

## Products & Services
- **Quantitative Macro Strategies**: Systematic, data-driven trading strategies that process large datasets to detect signals and patterns; managed by the firm’s quantitative research team.
- **Discretionary Macro Strategies**: Multi-portfolio manager discretionary macro funds where individual portfolio managers trade their views within a disciplined risk management framework.
- **UCITS-Compliant Funds**: Regulated investment vehicles for European investors.
- **‘40 Act Mutual Funds**: Sub-advised mutual funds for US retail and institutional investors.
- **Risk Management Services**: A robust framework including daily Risk Committee meetings, real-time monitoring, and proprietary risk tools.

## Market Standing
- **Valuation/Market Cap**: Not applicable (private firm). Latest AUM: **$21 billion** (as of April 1, 2026).
- **Key Metric**: **$21 billion in AUM** (includes significant proprietary capital and ongoing investment in the firm).
- **Notable Investors/Partners**: Global institutions and private wealth partners; signatory to PRI and SBAI; regulated by the SEC.
- **Growth Signals**: 30+ years of continuous operation; expanded to offices in Florida and London; launched multi-portfolio manager discretionary macro funds; average employee tenure of ~8 years; half of employees have been with the firm for over 5 years.

## Competitive Advantages
- **Three decades of macro trading experience** (founded in 1994) with a proven track record.
- **Unique synergy of quantitative and discretionary trading** under one roof, enabling complementary alpha strategies and diversification by design.
- **Deep risk management culture** with daily Risk Committee meetings and real-time monitoring at portfolio, strategy, and position levels.
- **Strong retention and institutional knowledge**: Investment Committee members average 15 years at the firm; overall employee average tenure is ~8 years.

## Strategic Focus
- **Innovation**: Continuously evolving trading strategies, portfolio construction, and risk management techniques.
- **Collaboration**: Encouraging open communication across departments to share ideas and expertise in the pursuit of alpha.
- **Client alignment**: Maintaining fiduciary responsibility with high transparency and a governance framework that prioritizes client objectives.
- **Sustainability**: Becoming a PRI signatory and integrating ESG considerations into investment processes.

## Why Work Here
- **Collaborative and inclusive culture**: Flat management structure, cross-departmental collaboration, and an open forum for sharing ideas.
- **Professional development**: Management training, mentorship programs, educational seminars, “Lunch and Learns” with senior management, and an internal technology platform for knowledge sharing.
- **Comprehensive benefits**: Medical, vision, dental insurance; paid vacation; parental leave with return-to-work program; 401K; educational assistance; competitive salary and bonus.
- **Wellness amenities**: Onsite fitness facility with personal training, group classes, meditation room; onsite dining; social events (summer barbecues, happy hours).
- **Work environment**: Scenic campus in Rowayton, CT (suburb of NYC); additional offices in New York, West Palm Beach, and London. Many team members live in New York or Fairfield County.
- **Strong retention**: Half of employees have been with Graham for over 5 years, reflecting positive culture and career growth.
- **Internship program**: Fully integrated interns work on independent and team projects, with many converting to full-time roles.

## Sources
1. [Graham Capital Management Home](https://www.grahamcapital.com/)
2. [Graham Capital Management Careers](https://www.grahamcapital.com/careers/)
3. [Graham Capital Management About Us](https://www.grahamcapital.com/about-us/)
4. [Graham Capital Management People and Culture](https://www.grahamcapital.com/people-and-culture/)
5. [Graham Capital Management LinkedIn](https://www.linkedin.com/company/graham-capital-management)

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