Senior Regulatory Compliance Manager – Securities Services & Custody

Job Description

About The Opportunity: We are partnering with a premier global financial institution to find a meticulous and proactive Regulatory Compliance Manager to join their Securities Services and Custody business. In this role, you will be responsible for ensuring regulatory adherence, client asset protection, and strong operational controls through reviews, regulatory monitoring, and implementation of compliance frameworks. Key Responsibilities: • Monitor and interpret regulatory developments affecting securities services and custody, including local and international regulations (e.g., SEC, FCA, ESMA, CSDR). • Perform periodic assurance reviews of custody operations, transaction processing, asset safekeeping, and client reporting to verify regulatory compliance. • Identify, assess, and report on regulatory risks within securities services and custody, recommending appropriate mitigation strategies. • Support the development and rollout of compliance policies, procedures, and controls specific to custody and securities services. • Prepare documentation and provide support for internal and external audits and regulatory inspections, ensuring timely and accurate responses. • Assist in delivering regulatory training and awareness programs for custody operations staff. • Compile regulatory assurance reports for management, highlighting key findings, emerging trends, and actionable recommendations. • Liaise with internal stakeholders (Compliance, Legal, Operations) and external parties (regulators, auditors) as required. • Track and follow up on remediation actions arising from assurance reviews, audits, or regulatory findings. Show More