Compliance Officer

About Caxton Associates:

Caxton Associates, founded in 1983, is a global trading and investment firm with offices in New York, London, Singapore, Monaco and Dubai, and launching Bangalore in 2026. Caxton Associates’ primary business is to manage client and proprietary capital through global macro hedge fund strategies.  As part of our continued growth, we are establishing a new office in Bangalore, India. This office will play a critical role in supporting our trading, research, and operations globally. 

About the role:
We are currently looking to hire a mid-level generalist compliance professional to join our Bangalore office to contribute to our global compliance team. Reporting directly to the Chief Compliance Officer based in New York, you will play a crucial role in implementing and maintaining a best-in-class Global Compliance Monitoring Programme. You will ensure regulatory adherence and help promote a culture of compliance across the organisation.

Responsibilities:

• Play a pivotal role in the Global Compliance Monitoring Programme.
• Operate both independently and seamlessly as part of a cross-jurisdictional team.
• Administering the firm’s Code of Ethics tool (ComplySci) .
• Execute global monitoring and surveillance activities with a focus on Market Abuse, Personal Account Dealing, Gifts and Entertainment and Investment Team Communication.
• Collaborate with other Compliance team members on policies, procedures, and global compliance issues as assigned by the CCO.
• Contribute your skills to projects within the Legal & Compliance team and/or firm as required.
• Work closely with colleagues across the firm to cultivate a culture of compliance.

• Law degree or Bachelors or Master’s degree in Business Administration or related field.
• Ideally, candidates will possess 5+ years’ experience as a compliance generalist in a hedge fund, trading firm, or investment management firm.
• Strong understanding and practical experience of regulatory frameworks, with a focus on Code of Ethics management and monitoring (personal account dealing, outside business interests, gifts & entertainment) and market abuse surveillance and communication surveillance.
• Experience in Compliance monitoring activities.
• Knowledge of finance, markets, trade life cycle. 
• Highly driven, organised, and detail-oriented, capable of multitasking and meeting tight deadlines.
• Excellent communication and presentation skills, both verbal and written.
• Experience in implementing and operating trade and communications surveillance programmes.
• Highly dependable and committed to upholding the highest professional and ethical standards.