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Manager/Senior Manager - Restricted Securities (Compliance) - Michael Page

Jobs via eFinancialCareersAbu Dhabi, UAE1 months agoMid-Senior
Mid-Seniorfulltime

Skills

LeadershipStrategic PlanningBudgeting

About This Role

Overview

  • Support for career development and growth within the organisation.
  • Exposure to challenging and impactful projects

About Our Client

The client is a large, globally active investment organisation based in the Middle East, managing a diversified portfolio across asset classes and geographies.

The platform is institutionally governed, with a strong emphasis on compliance, risk management and long-term investment integrity.

Job Description

  • Act as a subject matter expert for restricted securities compliance within the compliance team
  • Manage and maintain restricted and watch lists related to direct investments and fund positions
  • Review investment transactions and proposals to ensure compliance with information-barrier and MNPI policies
  • Advise investment professionals on wall-crossing, pre-clearance and handling of sensitive information
  • Partner with legal, risk and investment teams to ensure consistent application of compliance frameworks
  • Support the design, enhancement and implementation of restricted securities policies and controls
  • Maintain accurate records, reporting and documentation for restricted securities matters
  • Deliver guidance and training to investment teams on compliance obligations and best practices
  • Engage with external advisors, regulators and counterparties as required

The Successful Applicant

  • A successful Manager/Senior Manager - Restricted Securities should have:
  • 12-15 years' experience in compliance, regulatory advisory or risk management within asset management, investment banking, private markets or a comparable investment environment
  • Bachelor's degree in Law, Finance, Accounting, Business or a related discipline; professional compliance or legal qualifications are advantageous
  • Strong hands-on experience managing restricted securities, information barriers and MNPI controls
  • Exposure to both direct investment structures and fund investments
  • Solid understanding of global regulatory standards and institutional compliance frameworks
  • Strong judgement, attention to detail and ability to operate effectively in a high-governance environment
  • Confident stakeholder management skills, with the ability to engage credibly with senior investment professionals

What's On Offer

  • Exposure to challenging and impactful projects
  • Support for career development and growth within the organisation.

Gitika Aggarwal

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