Regulatory Compliance Specialist - Risk Management
We are seeking an experienced regulatory specialist to join our team, supporting compliance with key market abuse regulations.
This role sits within the first line of defence in the markets business and plays a pivotal part in overseeing critical regulatory frameworks including:
* UK/EU Market Abuse Regulation (MAR)
* US SEC Rule 10b-5 (Manipulative or Deceptive Practices)
* US Code 78o(g) (Material Non-Public Information)
Key Responsibilities
1. Develop and implement strategic compliance initiatives across market abuse regulations
2. Lead remediation efforts on market manipulation, insider trading, and securities fraud
3. Oversee risk assessment and mapping aligned with RCSA methodology
4. Develop and monitor risk metrics for complex business environments
5. Strengthen and enhance control frameworks to meet regulatory standards
6. Provide expert advisory to business units on market abuse compliance
7. Support governance forums with reporting, insights, and remediation tracking
Essential criteria
* A strong background in regulatory, compliance, or risk & control roles within large financial institutions
* Experience in one or more business units such as Markets, Banking, Wealth, or Services
* A deep understanding of market abuse risks and controls, including trade surveillance and information barriers
* Skilled in risk management practices and control design