Advise on information barriers, personal investments, expert networks, research policies, and regulatory requirements related to insider trading and market abuse.
Manage day-to-day Control Room operations including insider lists, wall crossings, material non-public information (MNPI) assessments, dealing restrictions, and personal investment approvals.
Partner with technology teams and vendors to strengthen compliance systems and enhance control frameworks.
Monitor regulatory developments and business activities to review, update, and implement policies and processes to ensure ongoing compliance effectiveness.
Support regulatory inquiries by coordinating with internal stakeholders and external legal counsel to prepare responses and retrieve relevant information.
Conduct policy reviews, stakeholder consultations, and present proposed changes to senior management and risk committees.