Compliance and Operations Manager

Overview

This is a multifaceted role supporting Seaport Global’s 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 Italy’s rules, as well as ensuring adherence to all AML/CTF obligations under the Bank of Italy’s 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.

• 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.

This is an exceptional opportunity for a qualified candidate to join Seaport Global as it launches its presence in Italy. Qualified applicants are invited to apply for this position via our Career page.

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 sales, trading and research. For more information, visit

Seaport Global Holdings LLC is 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.