𝗠𝗮𝗻𝗮𝗴𝗲𝗿 / 𝗦𝗲𝗻𝗶𝗼𝗿 𝗠𝗮𝗻𝗮𝗴𝗲𝗿 – 𝗥𝗲𝗴𝘂𝗹𝗮𝘁𝗼𝗿𝘆 𝗖𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲

Manager / Senior Manager – Regulatory Compliance, Investment Banking
Segment: Investment Banking | Function: Regulatory Compliance
Job Summary
We are seeking a regulatory compliance professional with investment banking experience across regulatory frameworks, risk management, capital requirements and Basel implementation. The role will oversee compliance risks arising from transactions, markets and investment activities.
Key Responsibilities

• Develop and maintain regulatory compliance frameworks for investment banking activities.
• Assess regulatory requirements affecting capital markets, transactions, investments and financing.
• Support Basel framework implementation and regulatory risk management initiatives.
• Perform regulatory gap assessments and monitor compliance with applicable requirements.
• Review transaction and investment processes for regulatory and control risks.
• Coordinate with risk, legal, internal audit and business teams on regulatory obligations.
• Prepare regulatory compliance reporting, risk assessments and remediation plans.
• Monitor regulatory developments and translate requirements into actionable controls.

Key Requirements

• Bachelor’s degree in a relevant discipline; professional certification is preferred where applicable.
• Strong knowledge of regulatory compliance frameworks, Basel requirements and risk management.
• Relevant banking or financial services experience with direct exposure to the functional area.
• Strong analytical, communication, stakeholder management and problem-solving skills.
• Working knowledge of banking governance, controls, risk and regulatory requirements relevant to the role.

Preferred Industry Exposure
Investment Banking and financial services, with direct exposure to regulatory compliance, relevant banking products/processes and applicable regulatory requirements.