Our Client, a Global Investment Bank, is seeking a Regulatory Control Specialist.

Overview:

Regulatory Control is responsible for establishing and maintaining control frameworks to effectively manage regulatory compliance, monitoring, surveillance, employee compliance, transaction monitoring, and client screening processes.

Responsibilities:

• Framework Implementation: Execute global or regional strategies to establish and sustain control frameworks for managing compliance and financial crime risks, including monitoring, surveillance, and client screening.
• Operational Excellence : Ensure workflows are governed by established policies, clearly defined processes, and appropriate escalation points while maintaining operational discipline and a strong awareness of regulatory risks.
• Control Testing and Assurance: Conduct Controls, Testing & Assurance (CT&A) to evaluate the effectiveness of key controls and risk management frameworks associated with compliance and financial crime risk types.
• Quality Assurance and Monitoring: Perform Quality Assurance (QA) and monitoring activities for financial crime risk-related processes to ensure compliance with regulatory standards and internal policies.
• Investigative Skills: Apply investigative expertise to identify and address regulatory risks, ensuring robust and compliant processes.

Requirements:

• Strong background in regulatory compliance, financial crime prevention, or related fields. Experience with control frameworks and compliance testing is preferred.
• Excellent knowledge of regulatory frameworks and risk management principles.
• Proficient in conducting quality assurance and control testing.
• Strong analytical, investigative, and problem-solving skills.
• Effective communication skills for collaboration across teams and reporting to senior management.
• Bachelor’s degree in finance, compliance, or a related field. Advanced certifications in compliance or financial crime (e.g., CAMS, CFE) are advantageous.