Senior Compliance Manager

Key responsibilities

• Develop and enhance the firm’s compliance framework, ensuring it aligns with both current regulatory demands and best practices.
• Develop, implement, and maintain the trade surveillance program to detect and prevent market abuse, insider trading, and other forms of misconduct.
• Oversee and manage PA trading policies, ensuring compliance with internal guidelines and external regulatory requirements.
• Supervise and refine the firm’s AML and KYC processes, ensuring all client relationships comply with global regulatory standards.
• Conduct periodic reviews and updates of compliance policies and procedures to reflect changes in laws, regulations, and market conditions.
• Provide compliance advisory services across all levels of the firm, acting as a trusted advisor on compliance issues and new regulatory developments.
• Develop and lead training sessions for staff on compliance matters, enhancing the compliance culture within the firm.
• Prepare and present compliance reports to senior management and regulatory bodies as required.
• Liaise with external regulators and advisors to ensure the firm’s compliance strategies are robust and effective.