Regulatory Assurance Analyst
Core
Ensure organizational adherence to regulations and industry standards for securities services and custody, safeguarding client assets and maintaining operational controls.
Role type
Regulatory Assurance Analyst
Builds
Compliance frameworks and assurance reports for securities services and custody operations
Domain
Financial Services / Securities & Custody
Deliverable
dashboards & analysis
Required skills
Regulatory monitoring, compliance reviews, risk assessment, policy implementation, audit support, stakeholder engagement, issue management
Preferred skills
Professional certifications (ICa, CISI, CAMS), compliance monitoring tools experience, risk management systems experience
Technologies
CSDR, MiFID II, SEC, FCA regulatory frameworks
Responsibilities
Track and interpret regulatory developments; Conduct periodic assurance reviews of custody operations; Identify and report on regulatory risks; Assist in developing compliance policies; Prepare documentation for audits; Support regulatory training programs; Prepare regulatory assurance reports; Liaise with internal and external stakeholders; Track remediation actions
Seniority
Mid-level, hands-on IC