Regulatory Governance Specialist

The Regulatory Controls team is a centralised unit within the Controls and Reg Management organisation and part of the Markets COO organisation. The team oversees regulatory functions with a vision to establish a best-in-class regulatory control framework. This framework prioritises risk reduction, process improvement, and ensures consistency and transparency across all regulatory matters impacting Global Markets Operations. With presence in Mumbai, London, Belfast, New York, New Jersey, Buffalo, and Houston, the team's remit is extensive. Key responsibilities include defining regulatory reporting strategy, overseeing the implementation of regulatory standards, conducting risk-based Quality Assurance reviews to identify and remediate gaps, continuous monitoring of regulatory control exceptions, and providing Middle Office Regulatory Transaction Oversight. This team plays a critical role in maintaining robust regulatory compliance and operational excellence across multiple jurisdictions.