Job Description
Responsabilities
Its main missions are to:
• Conduct thematic reviews across front, middle and back-office functions
• Contribute to trade surveillance activities to identify, investigate and escalate
potential market abuse, ensuring robust detection frameworks and full
regulatory compliance.
• Contribute to the annual compliance risk assessment and define, implement
and monitor a risk-based control plan, ensuring effective coverage of key
regulatory risks and timely remediation of identified gaps.
Additional Responsibilities:
• Conduct and coordinate on-site compliance oversight of branches and
subsidiaries to assess control effectiveness, ensure alignment with
standards, and drive remediation of identified deficiencies
• Contribute to compliance with US regulatory requirements where applicable
• Provide day-to-day compliance guidance to internal stakeholders
• Support senior...