Manager/Senior Manager - Restricted Securities (Compliance)

Manager/Senior Manager - Restricted Securities (Compliance)

- 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

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.