Role Overview 

The Compliance Manager is responsible for ensuring that ESX adheres to all relevant laws, regulations, policies, and standards that apply to its business operations. The role is crucial for ESX as it operates in an industry where compliance with legal and ethical standards is paramount.  

The Compliance Manager supports the Board of Directors and senior management by providing advice to all units regarding the rules, regulations and corporate policies which ESX is required to comply with as well as coordinating with other control functions to communicate effectively with regulators. The manager is also responsible to facilitate transactions, product structuring and business development and finds innovative and creative solutions to regulatory issues; assists ESX in conducting its business and other activities in compliance with all applicable laws, rules and regulations and the firm’s ethical standards.  

Duties and Responsibilities of the role 

• Monitor compliance within ESX to ensure operational and financial systems, processes and activities  are conducted in accordance with applicable laws, regulations, policies, and procedures. 
• Develop and implement compliance policies and procedures to ensure compliance with applicable laws and regulations working closely with relevant internal units
• Plan and coordinate compliance and regulatory risk assessments and recommend improvements to business operation, controls and compliance processes. 
• Identify, assess, monitor and report potential risks and areas of non-compliance within the organization and recommend appropriate mitigating measures. 
• Supervise and  monitor the effectiveness of compliance controls, monitoring programs and related systems. 
• Provide training and awareness programs to internal units on compliance-related matters including regulatory compliance, AML/CFT, financial crime prevention, conflict of interest, whistleblowing as well as ensuring that units understand and follow internal policies. 
• Establish monitoring systems to conduct  periodic compliance reviews and testing to assess adherence to laws, regulations, and compliance related policies and procedures. 
• Manage and develop Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) compliance programs. 
• Administer and monitor compliance with the Conflict-of-Interest Policy, including maintenance of conflict-of-interest disclosures and registers and review of actual, potential, and perceived conflicts of interest.
• Administer the whistleblowing framework, coordinate the assessment and investigation of whistleblower reports, maintain whistleblowing records, and monitor implementation of corrective actions.
• Implement and monitor compliance with employee securities trading, including maintaining relevant registers and reviewing employee disclosures and pre-clearance requests.
• Collaborate and maintain continuous communication with relevant regulatory authorities, in particular ECMA and FIS,  and coordinate responses to regulatory inquiries, inspections, and reporting requirements. 
• Prepare regular compliance reports to the Board, Committee, senior management and regulatory bodies, if required. Reports shall include details on compliance status, identified issues, and actions taken to address them. 
• Conduct investigations into compliance-related issues, conflicts of interest, regulatory violations, whistleblower allegations, and other compliance related matters, and recommend corrective actions as appropriate. 
• Work closely with other departments, such as legal, finance, and human resources, to ensure a holistic approach to compliance and to address cross-functional compliance issues. 
• Leverage technology and automation tools to streamline compliance processes and ensure more efficient monitoring and reporting. 
• Engage and coordinate with regulators and external third parties on compliance and regulatory matters.. 
• Maintain compliance registers and records, including regulatory obligations, breaches, conflicts of interest, whistleblowing cases, employee trading disclosures, and regulatory correspondence.
• Stay informed about changes in regulations and industry best practices. Continuously evaluate and improve the organization's compliance program. 
• Perform other duties as assigned to her/him by the Board, Committee, and senior management