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 complian...