Job Description

The Operations Manager will:

  • Serve as a subject matter expert on compliance policies (personal conflicts and trading) and relevant regulatory requirements (FCA, SEC, SFC, MiFID).
  • Support the business in adhering to conduct rules and regulatory obligations through process and control reviews.
  • Partner with compliance teams to evolve monitoring processes, including breach identification and reporting.
  • Develop, maintain, and deliver dashboards and reports from personal trade monitoring systems.
  • Support Internal Audit or Compliance Monitoring requests and maintain operational procedures.
  • Oversee and coordinate operational processes such as RCSA and BCP.
  • Respond to correspondence, provide backup coverage, and support intelligence and operational activities.


Skills Required
Operations, Trading, Compliance, compliance monitoring , Customer Service, Asset Management

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