Senior Compliance Officer - Capital Markets

About the role

Foresight is a financial group developing financial products and services through subsidiaries, including a brokerage and an asset management company licensed by the National Bank of Georgia. It is hiring a Senior Compliance Officer for its AML & Compliance Department, which covers the Group's capital markets business. The role ensures brokerage and asset management activities comply with Georgian securities and investment fund law, MiFID II, MAR and the CFA Institute's ethical standards.

Key responsibilities

• Ensure compliance with the Law of Georgia on Securities Market, the Law on Collective Investment Undertakings and NBG regulations, and track regulatory changes and reporting
• Oversee compliance across brokerage, portfolio management, investment advice, underwriting and placement of securities and funds, covering equities, bonds and fund units
• Develop conduct-of-business policies on client categorization, suitability, best execution, order handling, inducements, disclosure and complaints handling
• Monitor market abuse rules (MAR): inside information, insider lists, personal account dealing and suspicious order surveillance
• Monitor fund compliance with investment policies, fair valuation, fee transparency and fair treatment of investors
• Manage conflicts of interest, information barriers, cross trades and fair allocation
• Embed the CFA Institute Code of Ethics and the Asset Manager Code into policy and practice
• Run the risk-based compliance monitoring programme, review new products and advise management, portfolio managers and brokers
• Coordinate NBG inspections and reporting, and support AML client due diligence and sanctions screening
• Deliver regular compliance and ethics training

Required profile

• At least 5 years of regulatory compliance experience in a licensed financial institution, including at least 3 years in capital markets (brokerage, asset management, investment banking or custody)
• Proven experience building or running a compliance monitoring programme and drafting conduct-of-business policies
• Master's degree in Law, Finance, Economics or a related field; CFA charter or progress in the CFA Programme highly preferred
• Fluency in Georgian and English

Required skills

• Solid understanding of securities, investment funds, trading, order execution and portfolio management
• In-depth knowledge of the Georgian securities and investment fund framework and NBG requirements, and of MiFID II, MAR and ESMA guidelines
• Knowledge of AML/CFT legislation, FATF Recommendations and sanctions regimes is an advantage
• Practical command of the CFA Institute Code of Ethics and the Asset Manager Code; familiarity with GIPS is an advantage
• Excellent drafting skills for policies, opinions and regulatory correspondence