Trade Compliance Manager

Client Servicing Team Lead ( Trade Compliance )

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.

Experience Level

Senior Level