--- title: Senior Compliance Officer at Foresight • ფორსაითი description: Senior Compliance Officer – Capital Markets About the role Foresight is a financial group that creates and develops a range of financial products and services through its subsidiaries, including a bro --- # Senior Compliance Officer **Company:** Foresight • ფორსაითი **Location:** Tbilisi, Georgia **Posted:** 2026-11-12 **Apply by:** 2026-12-27 [Apply / View original posting](https://www.linkedin.com/jobs/view/4488291258) ## Job description Senior Compliance Officer – Capital Markets About the role Foresight is a financial group that creates and develops a range of financial products and services through its subsidiaries, including a brokerage company and an asset management company licensed by the National Bank of Georgia. We are looking for a Senior Compliance Officer to join the AML & Compliance Department, dedicated to the Group’s capital markets business. The role will ensure that our brokerage and asset management activities meet Georgian securities and investment fund regulation, MiFID II and MAR principles, and the CFA Institute’s ethical and professional standards, and will make integrity and investor protection part of how the Group works every day. This is a capital markets compliance role. It calls for someone who understands how securities, investment funds, and client orders actually work, and who can apply ethical standards to real investment decisions. Key responsibilities Capital markets regulation. Ensuring the brokerage and asset management companies comply with the Law of Georgia on Securities Market, the Law of Georgia on Collective Investment Undertakings, and NBG regulations; tracking regulatory developments and ensuring accurate and timely regulatory reporting. Investment services and instruments. Overseeing compliance across the full range of activities and instruments, including brokerage, portfolio management, investment advice, underwriting and placement of securities, and investment funds, covering equities, bonds, fund units, and other financial instruments. Conduct of business. Developing and maintaining policies on client categorization, suitability and appropriateness, best execution, order handling and allocation, inducements, disclosure, and complaints handling, aligned with MiFID II principles and translated into practical procedures for staff. Market integrity. Overseeing compliance with market abuse rules in line with MAR principles, including inside information, insider lists, personal account dealing, and surveillance of suspicious orders and transactions. Fund governance. Monitoring fund compliance with investment policies, restrictions, and limits, and overseeing fair valuation, fee transparency, and the fair treatment of fund investors. Conflicts of interest. Managing conflicts within and between the brokerage and asset management businesses, including information barriers, cross trades, proprietary and client interests, and fair allocation across clients and funds. Ethical standards. Embedding the CFA Institute Code of Ethics and Standards of Professional Conduct and the Asset Manager Code into the Group’s policies, decisions, and daily practice, and acting as the reference point for ethical questions in investment activities. Monitoring and advisory. Running the risk-based compliance monitoring programme, ensuring identified issues are remediated, reviewing new products and marketing materials, and advising management, portfolio managers, and brokers on daily compliance matters. Regulators and governance. Coordinating NBG inspections and correspondence, and reporting to management and the Supervisory Board. AML support and training. Supporting the AML function on client due diligence and sanctions screening, and delivering regular compliance and ethics training to staff. What we’re looking for Capital markets compliance experience. 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. Experience limited to general banking compliance will not be sufficient for this role. Instrument and market knowledge. Solid understanding of securities, investment funds, and other capital market instruments, as well as trading, order execution, and portfolio management processes. Regulatory knowledge. In-depth knowledge of the Georgian securities and investment fund framework and NBG supervisory requirements, and a strong understanding of MiFID II, MAR, and related ESMA guidelines. Knowledge of AML/CFT legislation, FATF Recommendations, and sanctions regimes is an advantage. Ethical and professional standards. Practical command of the CFA Institute Code of Ethics and Standards of Professional Conduct and the Asset Manager Code, with the ability to apply them to conflicts of interest, personal trading, material non-public information, and fair dealing. Familiarity with GIPS is an advantage. Judgment and independence. High personal integrity, sound judgment, and the confidence to challenge business decisions and escalate issues when needed. Experience dealing directly with regulators is a strong advantage. Communication. Excellent drafting skills for policies, opinions, and regulatory correspondence, and the ability to explain complex requirements clearly to investment professionals and management. Education and languages. Master’s degree in Law, Finance, Economics, or a related field. CFA charter or progress in the CFA Program highly preferred; ICA, CISI, or CAMS certification is an advantage. Fluency in Georgian and English. Selection process The selection process consists of two interviews and one written case study. Only shortlisted candidates will be contacted. How to apply Apply here, or send your CV in Georgian or English to vacancy@foresight.ge Equal opportunity The company evaluates candidates solely on the basis of their qualifications and skills. Discrimination on any grounds is excluded from the selection process, in compliance with the Law of Georgia on the Elimination of All Forms of Discrimination. Personal data The company processes candidates’ personal data to assess their suitability for the vacancy, in accordance with the Law of Georgia on Personal Data Protection. Candidate information may also be processed to assess suitability for future vacancies and is retained for no longer than one year. To object to further processing, or to request that your data be corrected or deleted or its processing stopped, please contact pdp.officer@foresight.ge . --- 🔔 [Monitor similar jobs on Gurify](https://gurify.com/?utm_source=techgeo&utm_medium=jobboard&utm_campaign=monitor_similar&role=Senior+Compliance+Officer) — get alerted when matching roles are posted in Georgia. ```json {"@context":"https://schema.org/","@type":"JobPosting","title":"Senior Compliance Officer","description":"

Senior Compliance Officer – Capital Markets About the role Foresight is a financial group that creates and develops a range of financial products and services through its subsidiaries, including a brokerage company and an asset management company licensed by the National Bank of Georgia. We are looking for a Senior Compliance Officer to join the AML & Compliance Department, dedicated to the Group’s capital markets business. The role will ensure that our brokerage and asset management activities meet Georgian securities and investment fund regulation, MiFID II and MAR principles, and the CFA Institute’s ethical and professional standards, and will make integrity and investor protection part of how the Group works every day. This is a capital markets compliance role. It calls for someone who understands how securities, investment funds, and client orders actually work, and who can apply ethical standards to real investment decisions. Key responsibilities Capital markets regulation. Ensuring the brokerage and asset management companies comply with the Law of Georgia on Securities Market, the Law of Georgia on Collective Investment Undertakings, and NBG regulations; tracking regulatory developments and ensuring accurate and timely regulatory reporting. Investment services and instruments. Overseeing compliance across the full range of activities and instruments, including brokerage, portfolio management, investment advice, underwriting and placement of securities, and investment funds, covering equities, bonds, fund units, and other financial instruments. Conduct of business. Developing and maintaining policies on client categorization, suitability and appropriateness, best execution, order handling and allocation, inducements, disclosure, and complaints handling, aligned with MiFID II principles and translated into practical procedures for staff. Market integrity. Overseeing compliance with market abuse rules in line with MAR principles, including inside information, insider lists, personal account dealing, and surveillance of suspicious orders and transactions. Fund governance. Monitoring fund compliance with investment policies, restrictions, and limits, and overseeing fair valuation, fee transparency, and the fair treatment of fund investors. Conflicts of interest. Managing conflicts within and between the brokerage and asset management businesses, including information barriers, cross trades, proprietary and client interests, and fair allocation across clients and funds. Ethical standards. Embedding the CFA Institute Code of Ethics and Standards of Professional Conduct and the Asset Manager Code into the Group’s policies, decisions, and daily practice, and acting as the reference point for ethical questions in investment activities. Monitoring and advisory. Running the risk-based compliance monitoring programme, ensuring identified issues are remediated, reviewing new products and marketing materials, and advising management, portfolio managers, and brokers on daily compliance matters. Regulators and governance. Coordinating NBG inspections and correspondence, and reporting to management and the Supervisory Board. AML support and training. Supporting the AML function on client due diligence and sanctions screening, and delivering regular compliance and ethics training to staff. What we’re looking for Capital markets compliance experience. 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. Experience limited to general banking compliance will not be sufficient for this role. Instrument and market knowledge. Solid understanding of securities, investment funds, and other capital market instruments, as well as trading, order execution, and portfolio management processes. Regulatory knowledge. In-depth knowledge of the Georgian securities and investment fund framework and NBG supervisory requirements, and a strong understanding of MiFID II, MAR, and related ESMA guidelines. Knowledge of AML/CFT legislation, FATF Recommendations, and sanctions regimes is an advantage. Ethical and professional standards. Practical command of the CFA Institute Code of Ethics and Standards of Professional Conduct and the Asset Manager Code, with the ability to apply them to conflicts of interest, personal trading, material non-public information, and fair dealing. Familiarity with GIPS is an advantage. Judgment and independence. High personal integrity, sound judgment, and the confidence to challenge business decisions and escalate issues when needed. Experience dealing directly with regulators is a strong advantage. Communication. Excellent drafting skills for policies, opinions, and regulatory correspondence, and the ability to explain complex requirements clearly to investment professionals and management. Education and languages. Master’s degree in Law, Finance, Economics, or a related field. CFA charter or progress in the CFA Program highly preferred; ICA, CISI, or CAMS certification is an advantage. Fluency in Georgian and English. Selection process The selection process consists of two interviews and one written case study. Only shortlisted candidates will be contacted. How to apply Apply here, or send your CV in Georgian or English to vacancy@foresight.ge Equal opportunity The company evaluates candidates solely on the basis of their qualifications and skills. Discrimination on any grounds is excluded from the selection process, in compliance with the Law of Georgia on the Elimination of All Forms of Discrimination. Personal data The company processes candidates’ personal data to assess their suitability for the vacancy, in accordance with the Law of Georgia on Personal Data Protection. Candidate information may also be processed to assess suitability for future vacancies and is retained for no longer than one year. To object to further processing, or to request that your data be corrected or deleted or its processing stopped, please contact pdp.officer@foresight.ge .

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