Job Description
An exciting opportunity has arisen for an experienced Regulatory Oversight / Risk and Control Specialist to join a global financial institution, supporting enterprise-wide 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
* Drive strategic compliance initiatives across market abuse regulations.
* Lead remediation efforts on market manipulation, insider trading, and securities fraud.
* Oversee risk assessment and mapping aligned with RCSA methodology.
* Develop and monitor risk metrics for complex business environments.
* Strengthen and enhance control frameworks to meet regulatory standards.
* Provide expert advisory to business units on market abuse compliance.
* Support governance forums with reporting, insights, and remediation tracking.
Essential criteria
1. Strong background in regulatory, compliance, or risk & control roles within large financial institutions.
2. Experience in one or more business units such as Markets, Banking, Wealth, or Services.
3. Deep understanding of ...