Compliance & AML Manager

About the role

The Compliance & AML Manager manages the company's day-to-day compliance and AML/CTF activities and supports the implementation of its compliance, AML/CTF, targeted financial sanctions and regulatory monitoring frameworks. The role ensures compliance with Capital Market Authority requirements, license conditions, internal policies and regulatory obligations relating to securities business, products, services and client relationships. The application deadline is 30 November 2026.

Key responsibilities

• Monitor compliance with CMA regulations, rules, circulars, license conditions and internal policies, and maintain and update the regulatory obligations register
• Manage the annual Compliance Monitoring Plan and run compliance monitoring reviews, control testing and thematic reviews, following up corrective actions until closed
• Review new products, services, client journeys, systems and client-facing communications from a compliance perspective
• Support oversight of outsourcing arrangements, third-party providers, brokers, custodians and fund managers, and monitor client protection, conduct of business, disclosure, suitability, conflicts of interest and complaint-handling requirements
• Coordinate regulatory reports, filings and responses, and support regulatory inspections and supervisory reviews
• Implement and maintain the AML/CTF and targeted financial sanctions framework, including KYC, customer due diligence, risk classification, sanctions screening and PEP screening
• Oversee transaction monitoring, alerts, investigations and case management, and prepare documented assessments of suspicious activity for escalation to the MLRO
• Support the MLRO in regulatory reporting, conduct quality assurance reviews of AML/CTF controls, and coordinate with Operations, Risk, Cybersecurity, Legal, Investment and Technology
• Prepare periodic compliance and AML/CTF reports for senior management and the Board, advise business and support functions, and help update policies, procedures and registers

Required profile

• Bachelor's degree in Law, Finance, Accounting, Business Administration or a related field
• More than 5 years of experience in Compliance and/or AML/CTF within a CMA-licensed entity, bank or similar