Compliance Manager – Team Lead

Уровень дохода не указан

Опыт работы: более 6 лет

Полная занятость

График: 5/2

Рабочие часы: 8

Формат работы: на месте работодателя

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Данная вакансия открыта для Freedom Holding Operations - дочерняя компания Freedom Holding Corp (далее - «Холдинг»).

Job Overview: 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.

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Где предстоит работать

Алматы, Театр имени Ауэзова, проспект Аль-Фараби, 77/7

Вакансия опубликована 29 января 2025 в Алматы

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