Compliance Manager

Prestige Development Group (PDG) specializes in providing innovative human capital management solutions tailored to meet the needs of both private and public sector organizations. We are a certified SBA HUBZone and Economically Disadvantaged Woman-Owned Small Business dedicated to fostering diversity, inclusion, and operational excellence.

About the role

We are seeking a Compliance Manager to work as an integral part of the broader Operations and Risk team. You will be responsible for creating supervisory procedures, monitoring changes in compliance and regulations, and ensuring the client remains on top of its reporting duties. As Compliance Manager, you will work closely with internal and external stakeholders to promote best practices and consistency.

Responsibilities

• Serve as the primary compliance touchpoint for the firm's SEC-regulated investment adviser and its Cayman-domiciled funds, including oversight of regulatory filings and fund governance requirements.
• Manage a firm-wide regulatory compliance program.
• Maintain the firm's Written Supervisory Procedures to ensure compliance with regulatory and exchange rules across all exchanges on which the firm trades.
• Assist in building and analyzing systems designed to monitor compliance with regulatory and exchange rules.
• Monitor trading and continuously improve trade surveillance reports.
• Keep abreast of changes in exchange rules.
• Handle any enquiries from regulators.
• Review contracts with brokers and other group service providers.

Requirements

• A minimum of 5 years of experience in the Financial Services industry.
• Sound knowledge of market integrity rules in the US, Australia, Europe, and UK.
• Futures and Equities related experience.
• Trade monitoring and surveillance experience.
• Extensive experience in the hedge fund and/or trading sector.
• Strong interpersonal and communication skills.
• Team-oriented approach to work.

Qualifications

• Preferred: Bachelor's degree in Business, Finance, or Law.
• Prior exposure to working in conjunction with regulators such as the SEC or CFTC.
• Understanding of MiFID II requirements.
• Understanding of market integrity rules of the USA, Europe, and APAC regions.
• Experience in a legal environment.

Pay

Salary Range: $150,000 - $170,000/Year