Manager – Trade Compliance
Job Summary:
Trade Compliance leads client-facing compliance operations and acts as a key bridge between onshore stakeholders, implementation managers, product development, and offshore teams. This role owns the understanding and translation of client compliance requirements, ensures accurate delivery across pre- and post-trade compliance, and drives high-quality execution and client satisfaction.
Key Responsibilities
Act as the primary point of contact for onshore clients and internal stakeholders for Trade Compliance.
Lead client discussions to understand, clarify, and challenge compliance requirements, ensuring clear and complete handoffs to Implementation Managers.
Oversee pre-trade, post-trade, and end-of-day compliance across the investment lifecycle.
Review and guide compliance rule setup, testing, troubleshooting, and approvals across portfolio and fund hierarchies.
Evaluate feasibility of client requirements; for items not supported, partner with Product Development teams to assess solutions, enhancements, or workarounds.
Handle complex and escalated client issues, managing expectations and driving timely resolution.
Lead, mentor, and review the work of the compliance team, ensuring quality, productivity, and knowledge growth.
Drive operational excellence through process improvements, documentation, and SLA management.
Collaborate closely with cross-functional teams including Product, Technology, Risk, and Performance.
Required Skills & Experience
Strong knowledge of financial products (Equity, Fixed Income, Derivatives, Alternatives).
Hands-on experience with Pre-Trade Compliance and Post Trade Compliance.
Proven client-facing and stakeholder management experience.
Strong leadership, communication, and problem-solving skills.
Bachelor’s degree or higher in Finance, Accounting, Business, or related field.
9+ years of relevant experience, with prior lead or managerial exposure preferred.
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