Senior trade surveillance officer responsible for monitoring, investigating, and reporting market abuse across multiple asset classes within MUFG’s investment banking operations.
Responsibilities
Review and investigate trading activity alerts from offshore Level 1 surveillance team
Utilise advanced systems and tools such as Bloomberg, Reuters, order and trade booking platforms, risk management systems, and automated communication surveillance technologies
Collaborate with Level 1 and Level 2 teams to ensure high‑quality alert disposition processes
Assist in sample‑based quality control testing of alert closures
Analyse alert patterns and escalation trends to identify emerging risks and potential market abuse
Requirements
Bachelor’s degree in Finance, Economics, Business Administration or related field
The Front Office Subject Matter Expert is an experienced individual contributor in the Subject Matter Expert (SME) team, owning asset class data specifications and supporting revenue team in client engagements.
Compensation
Highly competitive compensation with 100% bonus pay already integrated
Responsibilities
Defines BFDM fields, schemas and validation rules for owned asset classes
Turns market abuse typologies into Polaris risk scenarios
Maps owned asset classes to URT risk situations and regulatory requirements
Answers front office, data and surveillance questions in client meetings, demos and RFPs
Writes clear specifications for agent-based pipelines and reviews and validates their outputs
The Manager leads a team within Global Wholesale Operations responsible for driving an effective and efficient OTC Regulatory Reporting Control & Monitoring, ensuring Scotiabank meets its regulatory commitments for complete, accurate, and timely trade reporting.
Compensation
A competitive rewards program including bonus, flexible vacation, personal and sick days, and comprehensive benefits
Responsibilities
Lead a team ensuring effective execution and recordkeeping of an extensive suite of daily and periodic controls, as well as the resulting breach management, escalation, and documentation responsibilities.
Understand and maintain up-to-date knowledge of OTC derivative reporting requirements across all jurisdictions (FR2420, MIFID II, CIRO, CAT/CAIS, SFTR, SMMD, Electronic Bluesheets).
Help to drive change management projects/initiatives to ensure that regulatory reporting controls are operating effectively and have appropriate management metrics.
Generate accurate and complete executive reporting for a variety of Committees.
Support management commitments associated with Regulator, Internal Testing and Audit observations.
Senior Legal Counsel role in financial services covering regulatory and commercial matters for UK and EMEA operations.
Responsibilities
Advising on UK and relevant European financial services laws and regulations impacting investment management and regulated firms.
Drafting, reviewing and negotiating commercial agreements, including investment management, distribution, service provider and confidentiality agreements.
Supporting regulatory authorisations, notifications and interactions with regulators.
Supporting the development and review of policies, procedures, disclosures and other legal documentation.
Instructing and managing external counsel.
Requirements
Law degree, or another degree followed by a recognised legal qualification
Qualified solicitor or barrister admitted to practise in the UK
Nice to have: Private-practice training
Nice to have: In-house asset-management experience
Act as a dedicated product legal counsel and trusted legal partner to our product, commercial and compliance stakeholders, providing clear, commercially minded advice on the full product lifecycle.
Compensation
Competitive and rewarding remuneration package. Annual performance-based bonuses.
Responsibilities
Provide end-to-end legal support on the design, structuring, launch and ongoing management of financial products
Advise on the regulatory treatment of products under MiFID II and related frameworks
Support licensing and authorisation workstreams
Draft, review and negotiate product-related documentation
Assess the legal and regulatory characterisation of new and emerging product types
Requirements
Nice to have: crypto-asset regulation
Nice to have: experience with regulated firms operating across multiple jurisdictions
Consultor/a GRC ubicado en Madrid con al menos 3 años de experiencia para incorporarse al equipo especializado en gobierno, riesgos, cumplimiento normativo y resiliencia.
Responsibilities
Participar en proyectos de cumplimiento normativo y adecuación regulatoria.
Realizar análisis de riesgos tecnológicos, de ciberseguridad y de terceros.
Ejecutar análisis GAP frente a marcos regulatorios y estándares internacionales.
Elaborar políticas, procedimientos, metodologías y marcos de control.
Diseñar e implantar procesos de gestión del riesgo TIC.
Business Analyst supporting clients in the financial services industry to analyze, optimize and transform operational capital market processes across the trade lifecycle.
Locations (3)
Frankfurt am Main, Hesse, Germany
München, Germany
Düsseldorf, North Rhine-Westphalia, Germany
Responsibilities
Analyze and optimize operational capital market processes
Document and prioritize business requirements
Support digitalization and transformation initiatives
Coordinate stakeholder interfaces
Assist in testing and implementation of new processes
Requirements
Nice to have: Experience with Capital‑Markets platforms
Nice to have: Knowledge of regulatory requirements
Front Office Subject Matter ExpertBehavox · Remote, Italy
Manager, Regulatory Trade Reporting (GWO)Scotiabank · Toronto, Canada
Senior Product Legal CounselNexo · Sofia, Bulgaria
President, Bitstamp EuropeRobinhood · Luxembourg, Luxembourg