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Regulatory Compliance Specialist
6 hours ago
We are seeking a highly skilled and motivated individual to join our dynamic regulatory compliance advisory team as a Regulatory Compliance Specialist.
Job DescriptionThe successful candidate will be responsible for providing expert advice and support on MIFID II/R compliance and governance to our clients. This will involve monitoring regulatory changes, analyzing their impact on our businesses and products, and coordinating with internal stakeholders to ensure compliance.
As a member of our team, you will have the opportunity to work on a wide range of projects, including implementing new regulations, reviewing and revising policies and procedures, and developing training programs for employees.
You will also be expected to communicate effectively with clients, stakeholders, and colleagues at all levels, both orally and in writing. Strong analytical and problem-solving skills are essential, as well as the ability to work independently and as part of a team.
Required Skills and Qualifications- 3+ years of experience working in an area relevant to our function, such as regulatory reporting, MIFID II or EMIR regulation, product/market knowledge in one or more asset classes, trading/trading surveillance, compliance, issue/incident management, risk or legal experience
- Leadership skills – Ability to effectively delegate and manage a small team
- Good analytic skills - for example, to be able to assess the significance of issues arising, assess control design and effective operation or analyze changes in the regulation or guidance, and produce requirements for Nasdaq regulatory reporting
- Communication – Excellent oral and written communication skills are required. A big part of what we do requires effective communication with a wide range of external and internal parties. This means we need to know our audience and the appropriate language, level of detail and explanation necessary.
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