Senior Regulatory Compliance Specialist (mifid Ii/r And Emir)
Nasdaq Stockholm AB / Datajobb / Stockholm
2024-03-12
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The Regulatory Compliance team is the first line Compliance Advisory function within EMO dedicated to supporting 8 Nasdaq Exchanges and Nasdaq Clearing with compliance advisory services for the reporting obligations in regulations such as MIFID II/R, EMIR, SFTR as well as regular and ad hoc requests from our regulators. Our team monitors regulatory change, coordinates regulatory requests, supports projects and implementations, facilitates oversight, escalates risks, issues and incidents and is the main point of contact for numerous internal and external partners. We are specialists in the regulations we work with and advise on how to improve the control environment for high-quality regulatory reporting!
We operate in a dynamic regulatory landscape and our team has significantly expanded over the last 5 years to manage the increasing demands of our regulators, additional responsibilities and new projects with impacts to regulatory reporting.
The senior position we are looking to recruit will work as team with other experienced team members that have expertise working with our trading venues in the Nordics and Baltics to comply with their regulatory reporting obligations under MIFID II/R, EMIR and SFTR. We describe below typical work tasks involved in day-to-day compliance advisory responsibilities.
Compliance Advisory Responsibilities
We primarily advise and support operational reporting teams to improve the quality of regulatory reporting to national and super-national regulators, monitor for regulatory change and work with the 2nd line functions to connect with regulators regarding data requests and issues or incidents arising.
Examples of responsibilities are:
Monitoring of regulation changes and business/product changes which impact regulatory reporting regimes
Project implementation and new product/system support to analyze and assess the impact to regulatory reporting
Review and input on ESMA consultations
Regulator requests and communications
Incident and issue management advice and escalation
Coordination of Internal Audit and Compliance Review requests and follow-up on action points
Management Information and updates to the Exchanges, GMO management, Legal & Compliance and Risk
Industry body meetings such as EACH, ISDA and FIA
Meetings, communications and training with the operational reporting teams
Support for new products within the scope of the regulation
Review of policies, procedures and controls in place and formulation of recommendations to improve reporting processes, quality of reporting, governance and oversight of risks
About you:
We are looking for a candidate with abilities that complement our existing versatile team and a passion for learning and growing with the team their professional proficiencies and knowledge. We care about the high quality of our deliverables and value each team member's contribution to the team's continued success. We all work to foster a fun working environment where we support one another to build expertise in this domain. For you to be successful in this role, you should have:
Deep knowledge and experience in an area that is relevant to our function such as, but not limited to: regulatory reporting, MIFID II or EMIR regulation, product/market knowledge in one or more asset classes, trading/trading surveillance, compliance, issue/incident management, risk or legal experience
Good analytic skills - for example, to be able to assess the significance of issues arising, assess control design and effective operation or analyze changes in the regulation or guidance, and produce requirements for Nasdaq regulatory reporting
Documentation - Ability to document work performed in detail including findings, conclusions and follow-up actions needed is necessary
Communication - Excellent oral and written communication skills are required. A big part of what we do requires effective communication with a wide range of external and internal parties. This means we need to know our audience and the appropriate language, level of detail and explanation necessary.
Outcome-oriented - Proven track record to deliver good results and take ownership of the quality of your work and areas of responsibility
A standout colleague with strong collaboration and communication skills to work within an international team and with other Nasdaq functions and project teams
Problem-solving skills with a structured and detailed approach
Autonomous - Good ability to prioritize work tasks, multi-task and work autonomously with minimal direct supervision but with support for challenges
Proficient in English, both written and verbal.
Advanced Excel knowledge, and experience working with large data sets - it is an advantage but not necessary to have any knowledge or experience with data analytics software or programming languages such as Python or SQL.
Any familiarity with interpreting regulatory legal text and analyzing the impact on our businesses and products is an advantage as is a very good general understanding of financial products, trading and post-trade processes which impact regulatory reporting.
We are looking for a highly motivated individual who is willing to learn and further develop their expertise. We are willing to support you to gain additional skills and knowledge to support your professional goals and aspirations. We highly encourage our team members to attend industry conferences, engage in thought leadership and pursue several different types of learning opportunities.
About Nasdaq Stockholm
Our Stockholm office is located in Frihamnen and is easily accessed via multiple public transport options. The building offers a gym, bike park and an in-house restaurant.
Come as You Are
Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.
Apply online:
http://nasdaqinc.contacthr.com/134551601 Så ansöker du Sista dag att ansöka är 2024-04-11
Klicka på denna länk för att göra din ansökan Omfattning Detta är ett heltidsjobb.
Arbetsgivare Nasdaq Stockholm AB (org.nr 556420-8394),
http://nasdaqinc.contacthr.com/134551601 Tullvaktsvägen 15 (
visa karta)
115 56 STOCKHOLM
Arbetsplats Nasdaq
Jobbnummer 8536561
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