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.
