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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Алматы, Театр имени Ауэзова, проспект Аль-Фараби, 77/7
Вакансия опубликована 29 января 2025 в Алматы