Compliance Manager

Role OverviewThe Compliance Manager is responsible for managing and overseeing the global compliance framework of and its group entities across multiple jurisdictions.The role ensures that each regulated entity operates in full compliance with applicable laws, regulations, license conditions, and internal policies, while maintaining strong coordination with local compliance officers, MLROs, and external consultants.This position plays a critical role in protecting the group’s regulatory standing, reputation, and long-term sustainability.Key Responsibilities1. Group-Wide Compliance Oversight- Design, implement, and maintain a group-level compliance framework applicable across all entities. - Ensure alignment between group compliance policies and local regulatory requirements in each jurisdiction. - Oversee compliance governance across multiple licenses, regulators, and operating models. - Provide regular compliance updates to the Board, senior management, and key stakeholders.2. Regulatory & Licensing Management- Act as the primary compliance escalation point for global regulatory matters. - Coordinate with regulators across jurisdictions (e.g., FSC, CySEC, FSCA, SCA, or others, as applicable). - Support: - Regulatory inspections and audits - License applications, variations, and renewals - Regulatory reporting and disclosures - Ensure timely and accurate responses to regulatory queries and findings.3. Local Compliance Coordination- Work closely with local Compliance Officers, MLROs, and compliance consultants in each jurisdiction. - Provide guidance, oversight, and consistency in interpretation of regulatory requirements. - Review and approve local compliance policies, procedures, and control frameworks. - Ensure effective escalation and resolution of compliance issues at the group level.4. AML / CFT & Financial Crime Oversight- Oversee the group’s AML/CFT framework, including: - KYC and client due diligence standards - Transaction monitoring controls - Sanctions screening and PEP monitoring - Suspicious transaction reporting - Ensure AML policies are consistently implemented while respecting local regulatory nuances.5. Policies, Procedures & Controls- Draft, review, and maintain: - Group compliance manuals - AML/CFT policies - Conflicts of interest, outsourcing, and conduct policies - Client protection and complaints handling frameworks - Ensure operational processes align with compliance and regulatory expectations. - Promote a strong culture of compliance and ethical conduct across the organization.6. Monitoring, Risk & Internal Controls- Develop and oversee compliance monitoring programs across entities. - Identify, assess, and mitigate compliance risks at both entity and group levels. - Track regulatory changes and assess their impact on the business. - Implement corrective actions for compliance gaps and regulatory findings.7. Advisory & Business Support- Act as a trusted compliance advisor to senior management, operations, product, and technology teams. - Review and approve new products, services, markets, and distribution models from a compliance perspective. - Support outsourcing, partnerships, and vendor arrangements with appropriate compliance controls. - Balance regulatory compliance with commercial objectives.8. Training & Compliance Culture- Design and oversee group-wide compliance training programs. - Ensure staff awareness of regulatory obligations, AML requirements, and internal policies. - Promote a proactive, transparent, and risk-aware compliance culture.Key Skills & Competencies- Strong expertise in global financial services regulation (brokerage, trading, fintech). - Proven ability to manage compliance across multiple jurisdictions and licenses. - Deep understanding of AML/CFT frameworks and regulatory expectations. - Strong stakeholder management and communication skills. - Ability to interpret complex regulations and translate them into practical controls. - High integrity, independence, and sound judgment.Qualifications & Experience- Bachelor’s degree in Law, Finance, Business, or related field (Master’s degree preferred). - 15+ years of compliance experience in financial services, fintech, brokerage, or trading firms. - Prior experience as:Group Compliance OfficerHead of ComplianceSenior Compliance Manager in a regulated environment- Experience working with regulators and managing external compliance consultants is essential.

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