Regulatory Services Leader

4 weeks ago

London, Greater London, United Kingdom Illinois CPA Society Full time
Job Summary

We are seeking an experienced leader to manage the day-to-day activities of our EMEA Market Regulations Operations team. The successful candidate will be responsible for supervising the team, ensuring deliverables are met in a timely manner, and providing governance and oversight on a daily basis.

Key Responsibilities
  • Supervise daily activities of the team and ensure deliverables are being met in a timely manner.
  • Provide governance, supervision and escalation oversight on a day-to-day basis.
  • Work with Legal, Compliance, BU, Operations and Technology to review upcoming regulations, create solutions, drive consensus, and oversee implementation in systems and processes.
  • Ensure that European regulations (SFTR, EMIR, MiFID II and UMR) are correctly adhered to with the controls established and implemented across Compliance and Onboarding.
  • Management and production of key KRI and KPI metrics.
  • Proactively explore tactical and strategic solutions to identified and close control gaps.
  • Sample test / 4 eye review critical regulatory processing and or exception related processes.
  • Escalate issues in a timely manner to regional and global leads.
  • Global Connectivity- Establish and cultivate excellent working relationships with regional teams and internal stakeholders across various jurisdictions.
Requirements
  • Strong subject knowledge in EMEA and UK centric market regulations, including but not limited to: MiFID II, EMIR, SFTR, Transaction Reporting.
  • Proven ability to lead, mentor and develop teams.
  • Set and drive regional team strategy.
  • Ability to manage small and large-scale regional change initiatives.
  • Strong senior level stakeholder management experience.
  • Ability to multi-task and oversee delivery of multiple initiatives and BAU issues.
What We Offer
  • An international environment and future career opportunities within our division.
  • Significant role in defining process quality metrics and outputs.
  • Possibility to learn about the financial markets and global regulations.
  • Participation in major, global projects related to regulatory changes which have been re-shaping the financial industry.
  • Welcoming and inclusive environment, strong corporate values and work ethics.
  • Extensive training offerings.
  • Active social life, the possibility to join diverse employee networks.

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