Regulatory Compliance Manager (Safeguarding)

Regulatory Compliance Officer
Remote
October 6, 2026
Application ends: January 5, 2027

Job Description

REQUIREMENTS

  • 3+ years of experience in a safeguarding management role in an investment firm, consultancy, or regulator
  • In-depth knowledge of Delegated Directive (EU) 2017/593 and MiFID II
  • An understanding of the regulatory requirements applicable to client asset protection and reconciliations
  • Experience managing control processes within a financial services firm, including knowledge of front-to-back office trade flows
  • The ability to work well under pressure, manage multiple projects simultaneously, and meet tight deadlines
  • Excellent analytical and data interpretation skills, with the ability to identify and mitigate regulatory risks
  • Experience conducting safeguarding gap analysis, supporting policy creation and implementation
  • A willingness to continuously develop and improve your expertise

Nice to have

  • A professional certificate/diploma in compliance
  • A degree in economics or finance
  • Experience with SQL and data analysis to support reconciliation processes and compliance reporting
  • Exposure to regulatory audits and interaction with regulatory bodies

RESPONSIBILITES

  • Designing, developing, and implementing efficient control processes to ensure compliance with client asset protection requirements
  • Providing technical advice on safeguarding compliance to business and support functions, while promoting regulatory awareness throughout the firm
  • Interpreting and providing guidance on the application of safeguarding regulations to products and services
  • Supporting the Client Assets Oversight Officer with risk management and governance
  • Reviewing the output of the client money and custody asset reconciliations, and producing respective effectiveness reports
  • Coordinating and managing internal and external audits and reviews related to safeguarding compliance

Are you interested in this position?

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