Compliance Officer (Regulatory Compliance)

We are seeking a skilled and proactive Compliance Manager to oversee regulatory adherence in the areas of Insider Information, Market Control, Material Non-Public Information (MNPI), and Market Abuse. The ideal candidate will possess a deep understanding of financial regulations and an ability to monitor and mitigate the risk of market manipulation, ensuring compliance with all applicable laws and standards.

Key Responsibilities:

• Develop, implement, and maintain compliance programs and policies related to Insider Information, MNPI, Market Abuse, and Market Control.
• Provide guidance and training to employees on the proper handling of MNPI and insider information.
• Develop a methodology for monitoring and evaluating trading activities to identify and prevent potential market manipulation and abuse.
• Conduct regular surveillance of subsidiaries activities to ensure compliance with relevant laws, regulations, and internal policies.
• Investigate and resolve potential compliance breaches, market abuse cases, and other related violations.
• Stay updated on regulatory changes in the financial markets and provide recommendations to adapt company policies accordingly.
• Work closely with other compliance and risk management teams to ensure a robust control framework across the organization.

Requirements:

• Degree in Law, Finance or a related field (a Master’s degree or professional certification is a plus).
• Minimum of 7 years of experience in a compliance role, preferably in Global financial institutions or capital markets with at least 2 years in a managerial or leadership role.
• Strong knowledge of financial regulations, particularly those related to insider trading, market manipulation, and market abuse (e.g., MAR, SEC regulations, MiFID II).
• Proven experience in monitoring and investigating potential market abuse or misconduct.
• Expertise in Material Non-Public Information (MNPI) handling and control.
• Ability to work independently and manage multiple projects while maintaining attention to detail.
• Excellent communication, interpersonal, and analytical skills.

Preferred Qualifications:

• Advanced certifications in compliance or financial regulation (e.g., CAMS, CFE, ICA).
• Experience with financial trading platforms and surveillance software.
• Strong understanding of brokerage activities, international financial markets and cross-border regulatory requirements.

Personal Attributes:

• High ethical standards and a strong commitment to maintaining compliance with regulatory requirements.
• Ability to build relationships and work collaboratively across various departments.
• Problem-solving mindset with the ability to navigate complex regulatory scenarios.