Market Compliance Expert

About the role

The Market Compliance Expert ensures that market participants adhere to all relevant laws, regulations, and market rules. This role supports market integrity by conducting thorough compliance reviews, investigating potential breaches, and advising on risk mitigation strategies.

Key responsibilities

• Monitor compliance with financial market regulations, internal policies, and procedures.
• Conduct compliance reviews and inspections of regulated entities.
• Identify regulatory breaches and assess associated compliance risks.
• Analyze trading activities and market conduct to detect irregularities.
• Investigate potential violations and prepare detailed investigation reports.
• Recommend corrective actions and follow up on remediation plans.
• Interpret regulatory requirements and provide guidance to stakeholders.
• Support the development and enhancement of market compliance frameworks.
• Coordinate with internal departments and external regulatory bodies as needed.
• Maintain accurate compliance documentation, case records, and prepare management reports.

Required profile

• Bachelor's degree in Finance, Economics, Accounting, Law, Business Administration, or a related field.
• Master's degree preferred.
• Professional certifications such as CAMS, CRCM, ICA, SOCPA, or CFA are an advantage.

Required skills