Stay ahead of regulatory developments across major markets (US, UK, EU, AUS, Singapore) and interpret complex requirements from bodies such as CFTC, NFA, ESMA, FCA, MAS, and ASIC
Evaluate how new and evolving regulations affect Capital Markets products and services, and provide actionable guidance to business leaders
Establish and maintain robust policies, procedures, and governance frameworks to ensure compliance with global regulatory standards
Partner with Compliance, Legal, Risk, and business units to embed regulatory requirements into operational processes and controls
Influence Capital Markets strategy and operating model to align with regulatory expectations and industry best practices
Identify high-risk situations, advise on mitigation strategies, and ensure timely escalation of regulatory issues
Lead initiatives related to horizon scanning, impact assessments, regulatory reporting, and governance enhancements
Communicate regulatory impacts effectively to internal and external stakeholders, fostering a culture of compliance and risk awareness
Support ad hoc projects and provide leadership coverage for the regulatory change team when needed
Requirements
Typically requires 7–10 years in regulatory change, compliance, or risk management within a regulated financial services firm
Deep understanding of global regulatory frameworks, including MIFID, EMIR, FSMA, and prudential risk management standards
Ability to assess regulatory risks, interpret complex rules, and develop practical compliance solutions
Strong interpersonal skills to consult with stakeholders at all levels and articulate regulatory requirements clearly
Comfortable working independently and collaboratively in a dynamic environment, with a focus on continuous improvement and innovation
Familiarity with horizon scanning, impact assessments, and governance frameworks to anticipate and manage regulatory change effectively
Benefits
retirement benefits (401k and pension)
health and welfare benefits (medical, dental, vision, spending accounts and disability)
paid time off
parental and caregiver leave
life & accident insurance
other voluntary and well-being benefits
discretionary bonus program that may include an equity component
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