Regulatory Compliance Expert for Capital Markets
3 hours ago
We are seeking an experienced Regulatory Compliance Expert to join our team at Live Connections. This role is ideal for professionals with a strong background in capital markets and asset management regulations.
About the Role:
The successful candidate will possess expertise in key areas of Capital Markets and Asset Management, including Investment Compliance, Trade and Market Surveillance, Conduct Risk, Security Operations, and Wealth Management Operations.
They will be knowledgeable about U.S. and International Banking or Capital Markets regulations, such as SEC, FINRA, DOL, FCA, CFTC, EBA, and will understand financial products across asset classes, including Equities, Fixed Income, Currency, and Derivatives.
Responsibilities:
- Collaborate with subject matter experts in risk management to assess capability gaps, design future states, and outline implementation strategies.
- Lead large transformation/implementation projects, including requirement gathering, data analysis, and gap analysis, converting business requirements into functional specifications, and coordinating testing.
- Support the implementation of complex regulatory initiatives, such as Basel IV, CCAR, FRTB, CECL, Libor transition, by drafting position papers, business and functional requirements, test plans, and user guides.
- Conduct capital and liquidity assessments and support capital optimization programs.
- Validate capital plans, resolution plans, and QIS submissions.
- Develop risk registers, conduct RCSAs, define KRIs, and manage risk scenario libraries and analyses.
- Establish/review processes, controls, and technology infrastructure for regulatory report production/attestation, such as FR-Y14A/Q/M, FR-Y9C, FFIEC 101, COREP, FINREP, FR2052a, LCR, NSFR.
- Understand risk regulatory frameworks of major economies, such as US, EU, and principles such as Basel II/III, Dodd Frank, ICAAP, MIFID II, IFRS9, PSD2.
Requirements:
- 4-8 years of experience in any/all the above areas is preferred.
- Working for financial services consulting firm, a large bank, or broker-dealer.
- Working for the U.S. or International Banking or Capital Markets Regulator, such as SEC, CFTC, EBA, FCA, etc.
- Exposure to working in globally distributed workforce environment including onshore and offshore.
- Excellent communication and interpersonal skills to discuss requirements and their solutions with Front office users, such as PM and Traders.
Qualifications:
- Master's degree in Finance/Master of Business Administration (MBA).
- Bachelor's degree in Engineering, or other related technical discipline.
- FRM and/or CFA certification preferred.
Compensation: The estimated salary range for this role is $120,000 - $180,000 per year, depending on experience and qualifications.
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