Manager/Senior Manager - Restricted Securities (Compliance)

Michael Page (Hong Kong); Nuevo León; On-site; MXN 900,000 - 1,500,000; Full time

Benefits offered by this job

Support for career development

Exposure to challenging projects

Job summary

A global investment organization in Nuevo León seeks a Compliance Manager/Senior Manager to manage restricted securities compliance. Responsibilities include reviewing transactions, maintaining compliance frameworks, and providing guidance to investment teams. The ideal candidate has 12-15 years of experience in compliance or risk management and holds a Bachelor's degree in Law or Finance. This position offers exposure to impactful projects and career growth opportunities.

Qualifications

• 12-15 years of experience in compliance, regulatory advisory, or risk management.
• Hands-on experience managing restricted securities and information barriers.
• Strong judgement and attention to detail in a high-governance environment.
• Solid understanding of global regulatory standards and institutional compliance frameworks.

Responsibilities

• Act as a subject matter expert for restricted securities compliance.
• Manage and maintain restricted and watch lists.
• Review investment transactions for compliance.
• 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.

Skills

Compliance expertise

Risk management

Stakeholder management

Attention to detail

Education

Bachelor's degree in Law, Finance, or related discipline

Professional compliance or legal qualifications

Job description

• Support for career development and growth within the organisation.
• Exposure to challenging and impactful projects

About Our Client

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.

Job Description

• 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

The Successful Applicant

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.