Senior Regulatory Compliance Specialist

Job Overview
As a senior specialist, you will join the integrated compliance service team to contribute to the implementation and ongoing enhancement of the regulatory compliance management program. This role supports the global risk and change management center of excellence by identifying, assessing, and integrating regulatory changes into the organization's compliance framework.

Key responsibilities include monitoring and assessing regulatory updates, coordinating with stakeholders, and maintaining authoritative sources. You will also administer compliance platforms to support operational efficiency, generate reports for insights into compliance status and trends, and collaborate with cross-functional teams to manage regulatory risks.

Responsibilities

• Implement and continuously improve the regulatory compliance management program to ensure alignment with global regulatory expectations and internal standards.
• Monitor and assess regulatory changes, coordinate with stakeholders, and integrate findings into compliance systems and processes.
• Provide subject matter expertise in linking authoritative sources to integrated compliance platforms, ensuring traceability and alignment across systems.
• Maintain and govern the global RCM SharePoint site, ensuring accurate access controls, document versioning, and records management practices.
• Monitor and maintain the LCG issue and CAP management dashboard, applying filters by segment, common unit, and compliance programs.
• Support stakeholders in navigating and using compliance platforms for regulatory change tracking, obligation mapping, and controls documentation.
• Create, enhance, or update policies, guidelines, and procedures related to authoritative sources and compliance platforms.
• Conduct training sessions and walkthroughs for stakeholders on the use of compliance platforms and authoritative source management tools.
• Support the preparation of global RCM quarterly reporting, including drafting write-ups, compiling data, and coordinating inputs from relevant teams.
• Contribute to compliance communication, reporting, and information sharing across business segments and legal entities.
• Assist in readiness assessments, control attestations, and implementation of enhancements to compliance systems and processes.
• Review, grant, and revoke stakeholder access to compliance databases and tools, ensuring appropriate access controls, user governance, and audit trail documentation.
• Provide support to the regulatory compliance CoE in the execution of centralized policies, standards, and audit coordination.

Required Qualifications

• 2-3 years of experience in compliance, legal, risk (regulatory compliance risk), or audit as an analyst or auditor.
• 4-5 years of experience in the financial industry or a relevant field.
• Experience in regulatory compliance.
• Excellent communication and presentation skills, with the ability to present to stakeholders.
• Bachelor's degree preferably in accounting, law, finance, business, or related fields.

Preferred Qualifications

• Strong understanding of regulatory compliance management programs, regulatory change processes, and compliance platforms.
• Proven experience in compliance roles; experience in legal, risk, or audit functions is valuable when directly related to regulatory compliance.
• Experience in managing or supporting authoritative sources, regulatory obligation mapping, and compliance documentation.
• Proficiency in developing and maintaining policies, procedures, and guidelines related to compliance systems and regulatory content.
• Skilled in using and supporting compliance platforms and dashboards; experience with SharePoint and issue/CAP management tools is preferred.
• Proficient in MS Office Suite, particularly MS Word, Excel, and PowerPoint.
• Advanced Excel skills, including formulas, macros, pivot tables, and formatting for compliance reporting.
• Experience with data analytics and visualization tools is preferred.
• Strong English communication skills, both written and verbal, with the ability to draft clear and concise compliance documentation and reports.
• Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced, evolving regulatory environment.
• High attention to detail, sound judgment, and a proactive approach to identifying and addressing compliance issues.
• Flexible and adaptable, with a strong awareness of cultural diversity and cross-functional collaboration.
• Open-minded, eager to learn, and committed to continuous improvement in compliance practices.

Benefits

We offer a flexible environment where well-being and inclusion are valued. As part of our global team, we empower you to learn and grow your career. We recognize and support you in shaping the future you want to see.

About Us

Our company helps people make informed decisions and live better lives. To learn more about us, visit our website.

We are an equal opportunity employer and strive to attract, develop, and retain a diverse workforce. We foster an inclusive work environment that values cultures and individuals. We adhere to fair recruitment, retention, advancement, and compensation practices without discrimination on any protected ground.

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