Compliance Manager - Asset Management

About The Role

responsible for leading all components of the compliance program, foster a culture of compliance and ensure local regulatory compliance requirements are met. The Compliance Officer will play a critical role in safeguarding the firm’s operations, maintaining client trust, and mitigating risks by ensuring compliance with applicable regulations and internal policies. The ideal candidate will combine expertise in financial regulations, strong analytical skills, and effective communication to support the firm’s investment strategies and operational integrity.

What You'll Do

Compliance Oversight:

• Monitor and ensure compliance with local and international regulations relevant to different asset classes

• Stay updated on regulatory changes and assess their impact on the firm’s operations, advising senior management on necessary adjustments.

• Develop, implement, and maintain compliance policies and procedures tailored to the firm’s investment activities and client base.

• Ensuring firm is complying with applicable laws, regulations and mandates' documentations (prospectuses, agreements investment guidelines, terms & conditions).

• Ensuring compliance with mandates’ contractual guidelines, detect and highlighting any breaches and suspicious activities according to AML regulations.

• Ensuring timely filing of different reports to regulatory bodies.

• Regular review of funds' prospectuses and any required updates or amendments to ensure compliance with

regulations.

• Periodic preview of counterparties documentations and commercial standing to ensure compliance with

regulatory bodies.

• Following up on customer complaints and ensuring they were properly addressed.

• Reviewing all procedures and compilation of required documentations for establishing new mutual funds/portfolios.

• Managing the process of staff trading approvals with regulatory bodies.

• Reviewing clients’ agreements from compliance perspective.

• Lead and manage the compliance team, providing guidance, training, and performance oversight.

Risk Assessment and Mitigation:

• Conduct regular risk assessments to identify potential compliance vulnerabilities in trading, reporting, and

portfolio management processes.

• Implement controls to mitigate risks related to regulatory or contractual breaches, conflicts of interest, or

operational errors.

• Monitor and review employee trading activities and disclosures to ensure adherence to insider trading and

ethical standards.

Audits and Reporting:

• Coordinate and support internal and external audits, providing accurate documentation, reports, and responses to regulatory inquiries.

• Prepare and submit regulatory filings or other required disclosures, in a timely and accurate manner.

• Maintain detailed records of compliance activities, including training logs, policy updates, and incident reports.

Anti Money Laundry responsibilities:

• Ensure that adequate Anti Money Laundering policies, procedures, systems and controls are established and implemented.

• Monitor the application of the AML policy and procedures including KYC procedures.

• Establish program for the business to identify any unusual or suspicious transactions.

• Establish internal Suspicious Transaction Reporting procedures.

• Review any unusual or suspicious transactions identified and communicate with the MLCU and FRA as necessary.

Training and Education:

• Design and deliver compliance training programs for employees, covering topics such as anti-money laundering (AML), Know Your Customer (KYC), and ethical conduct.

• Educate staff on regulatory requirements specific to asset classes like equities, fixed income, commodities, and REITs, ensuring awareness of compliance obligations.

• Foster a culture of compliance by promoting ethical behavior and accountability across all levels of the organization.

Stakeholder Coordination:

• Act as a liaison between the firm, regulators, custodians, and external auditors to address compliance-related inquiries and requirements.

• Collaborate with back-office, front-office, and middle-office teams to ensure compliance is integrated into operational workflows, such as trade settlement and client reporting.

• Advise portfolio managers and senior leadership on compliance implications of new investment strategies or products.

Incident Management and Resolution:

• Investigate and resolve compliance issues, such as trade errors or breaches of fiduciary duty, escalating critical matters to senior management...