
Regulatory Compliance Expert
1 week ago
A leading global financial institution is seeking an experienced Regulatory Oversight/Risk and Control Specialist to join their team.
Main Responsibilities:- Develop strategic compliance initiatives across market abuse regulations, driving regulatory excellence.
- Lead remediation efforts on market manipulation, insider trading, and securities fraud, ensuring adherence to regulatory standards.
- Oversee risk assessment and mapping aligned with RCSA methodology, identifying areas for improvement.
- Design and implement risk metrics for complex business environments, providing actionable insights.
- Enhance control frameworks to meet regulatory requirements, mitigating potential risks.
- Provide expert advisory services to business units on market abuse compliance, fostering a culture of regulatory awareness.
- Support governance forums with reporting, insights, and remediation tracking, ensuring transparent decision-making.
Key Qualifications:
- Strong background in regulatory, compliance, or risk & control roles within large financial institutions, with a proven track record of success.
- Experience in one or more business units such as Markets, Banking, Wealth, or Services, with a deep understanding of market abuse risks and controls.
- Skilled in risk management practices and control design, with expertise in trade surveillance and information barriers.
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