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.
- 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
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