Senior Regulatory Compliance Specialist

Job Description

• Conduct detailed regulatory analysis of new and existing products, services and activities to determine their regulatory characterization and applicable governing regulatory frameworks.
• Assess licensing requirements across various jurisdictions, including EU member states and APAC, and identify regulatory obligations for market entry and ongoing operations.
• Interpret and apply relevant financial services regulations, including those governing asset servicing, custody, fund administration, and related activities.
• Assess inherent regulatory risks associated with new products, services, and business activities, and design, implement, appropriate control frameworks to mitigate those risks.
• Develop and maintain regulatory risk assessments, controls matrices, and compliance frameworks aligned to applicable regulations and internal risk appetite.
• Provide regulatory guidance to product, business teams and other relevant stakeholders during product development and advising on operating models and impacted regulatory regimes.
• Support the preparation and submission of regulatory applications and notifications, as it pertains to new products and services.
• Develop and maintain technical solutions to document end-to-end regulatory analysis output and for the ongoing monitoring thereof.

This role is a Controlled Function (CF) role under the CBI Fitness & Probity regime.

Qualifications

• Bachelor’s degree in Law, Finance, Economics, or a related field (advanced degree or legal qualification preferred).
• Significant experience in regulatory compliance function or legal function within financial services, with a strong focus on asset servicing (e.g., custody, fund administration, transfer agency).
• Deep knowledge of EU financial regulations and directives (e.g., UCITS, AIFMD, MiFID II, CSDR, EMIR), with awareness of global regulatory regimes considered an advantage.
• Experience working across multiple jurisdictions and regulatory environments.
• Familiarity with cross-border distribution and passporting frameworks within the EU.
• Proficient in interpreting complex legal and regulatory texts and translating them into practical business guidance and operating models.
• Demonstrated experience designing and implementing regulatory control frameworks.
• Strong risk assessment and control design capabilities.
• Ability to manage multiple projects and stakeholders simultaneously.

Additional Information

To analyze financial products, services and activities, determine their regulatory impact and classification, and assess applicable licensing and regulatory requirements across multiple jurisdictions, with a strong emphasis on the European Union. Engage with relevant internal and external stakeholders and develop relevant control frameworks. This role requires deep expertise in financial services regulation, particularly within asset servicing, and the ability to interpret complex regulatory frameworks to support business strategy and compliance obligations.