Capital Markets Compliance Manager

athGADLANG is looking

Job Title:

Capital Markets Compliance Manager

Department:

Legal & Compliance / Regulatory Affairs

Location:

On-site or Remote

Job Summary:

We are seeking a highly skilled and detail-oriented Capital Markets Compliance Manager to oversee and manage all regulatory compliance activities in accordance with the Capital Market Authority (CMA) regulations. The ideal candidate will have a strong background in brokerage operations, asset management compliance, and ad-hoc regulatory reporting. This role requires a deep understanding of CMA laws and the ability to implement robust frameworks to ensure full regulatory compliance across all business units.

Key Responsibilities:

• Ensure company-wide compliance with CMA regulations related to brokerage, asset management, and capital market activities.
• Liaise with the Capital Market Authority for regulatory reporting, audits, licensing, and correspondence.
• Develop and implement compliance policies, manuals, procedures, and internal controls to meet CMA requirements.
• Monitor trading activities and investment portfolios to detect and prevent any regulatory breaches.
• Lead regulatory inspections and resolve issues raised by the CMA in a timely manner.
• Conduct regular compliance risk assessments, audits, and gap analysis across business functions.
• Prepare and submit ad-hoc and periodic reports to CMA and other regulatory authorities.
• Advise senior management and business heads on compliance risks and regulatory changes.
• Train employees on regulatory and compliance updates, policies, and ethical standards.
• Maintain records of licenses, approvals, and submissions required by CMA.
  
  

Qualifications & Experience:

• Bachelor’s or Master’s degree in Finance, Law, Economics, or a related field.
• Minimum 3-5 years of experience in Capital Market Authority Compliance, preferably in brokerage houses or asset management firms.
• Strong working knowledge of CMA regulatory framework and capital markets laws.
  
  

Job Types: Full-time, Part-time, Contract

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