Provide regulatory advice to financial markets business lines, review product due diligence, and maintain compliance policies and procedures. Deliver training, support licensing and registration matters, handle conduct-related incidents, and respond to regulator enquiries. Requires 5-8 years of regulatory compliance experience and strong knowledge of financial market products.
Core skills
Regulatory ComplianceFinancial Markets ProductsProduct Due DiligenceCompliance Policies and ProceduresTrainingLicensing and Registration
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