Website:
cwan.com
Job details:
Manager – Trade Compliance
Job Summary:
Trade Compliance leads client-facing compliance operations and acts as a key bridge between onshore stakeholders, implementation managers, product development, and offshore teams. This role owns the understanding and translation of client compliance requirements, ensures accurate delivery across pre- and post-trade compliance, and drives high-quality execution and client satisfaction.
Key Responsibilities
- Act as the primary point of contact for onshore clients and internal stakeholders for Trade Compliance.
- Lead client discussions to understand, clarify, and challenge compliance requirements, ensuring clear and complete handoffs to Implementation Managers.
- Oversee pre-trade, post-trade, and end-of-day compliance across the investment lifecycle.
- Review and guide compliance rule setup, testing, troubleshooting, and approvals across portfolio and fund hierarchies.
- Evaluate feasibility of client requirements; for items not supported, partner with Product Development teams to assess solutions, enhancements, or workarounds.
- Handle complex and escalated client issues, managing expectations and driving timely resolution.
- Lead, mentor, and review the work of the compliance team, ensuring quality, productivity, and knowledge growth.
- Drive operational excellence through process improvements, documentation, and SLA management.
- Collaborate closely with cross-functional teams including Product, Technology, Risk, and Performance.
Required Skills & Experience
- Strong knowledge of financial products (Equity, Fixed Income, Derivatives, Alternatives).
- Hands-on experience with Pre-Trade Compliance and Post Trade Compliance.
- Proven client-facing and stakeholder management experience.
- Strong leadership, communication, and problem-solving skills.
- Bachelor’s degree or higher in Finance, Accounting, Business, or related field.
- 9+ years of relevant experience, with prior lead or managerial exposure preferred.
Click on Apply to know more.