Compliance and Operations Manager
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Job Summary
This is a multifaceted role supporting Seaport Globals Milan office providing essential coverage across key functions of the agency brokerage business including Compliance Operations and Office Management. The ideal candidate is highly organised proactive and capable of managing multiple priorities in a dynamic environment. Priorities for this position include ensuring that the SIM operates in full compliance with all applicable laws regulations and internal policies specifically MiFID MAR CONSOB requirements and the Bank of Italys rules as well as ensuring adherence to all AML/CTF obligations under the Bank of Italys provisions and EU AML Directives.
In addition this position will serve as the hands-on Operations and Office Manager for the newly launched office overseeing day-to-day operational needs coordinating administrative activities and ensuring the office runs efficiently and professionally.
Responsibilities:
- Report directly to the CEO and support the new office setup as well as future strategic and business development initiatives.
- Serve as the primary contact for locally outsourced providers including tax accounting payroll and IT; and oversee timely accurate financial and regulatory filings.
- Maintain and update Compliance and AML policies and procedures; perform AML risk assessments; advise the Board and CEO on regulatory developments; and act as the main point of contact with CONSOB and the Bank of Italy.
- Conduct periodic compliance monitoring and escalate issues to the Board and CEO as required.
- Oversee all regulatory submissions and filings including STOR/SAR reports when necessary.
- Deliver Compliance and AML training for new joiners and periodic refresher training for staff.
- Manage EU client onboarding and CDD processes including client communications review of Italian-language KYC documentation and ongoing client screening.
- Ensure alignment with group-wide compliance processes and surveillance systems.
- General familiarity with post-trade workflows is an advantage but not a requirement as the firm plans to outsource trade settlements function to the Operations team in London.
- Coordinate day-to-day office operations including logistics administrative support holiday calendar management travel arrangements and general office management duties.
Seaport Global is a full-service mid-sized independent investment bank that offers capital markets advisory sales trading and research services. Headquartered in New York with offices across the US and in Europe we pair extensive knowledge and relationships with fixed income salestradingand research. For more information visit.
Seaport Global Holdings LLCis an Equal Employment Opportunity Employer and does not discriminate on the basis of race color religion national origin sex gender gender identity gender expression age sexual orientation disability (physical or mental) medical condition marital status ancestry protected veteran status genetics and any other protected group status or non-job related characteristics as directed by law.
We may use artificial intelligence (AI) tools to support parts of the hiring process such as reviewing applications analyzing resumes or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed please contact us.
Required Experience:
Manager
Key Skills
- Abinitio
- Apprentice
- Dermatology
- Cost Estimation
- Data Networking
- Liaison
