Manager, Market Regulation

Job Ref: LF 22859
Posted: 2020-10-15
Leapfrog Jobs

A leading independent exchange for a wide range of companies is seeking to recruit a Manager into their Market Regulation Department with 5 years’ relevant exchange, financial services or regulatory experience.


Guernsey, Channel Islands


Undertake regular reviews of the Membership and Trading and Settlement Rules to ensure they remain relevant and fit for purpose.
Develop and deliver continuous improvement of the Membership policies, procedures and controls as they relate to the on-boarding, oversight and supervision of Member firms, ensuring they remain relevant and effective.
Deliver on-boarding and risk-based oversight and supervision of Member firms ensuring that identified risks are being managed effectively.
Maintain the control environment of all records relating to Member firms, ensuring that these are appropriate, complete, accurate, protected and readily accessible.
Ensure that all the available supervisory tools are used to deliver a qualitative assessment of the risks posed by Member firms.
Develop and deliver reporting of qualitative management information and analytical data that supports Member supervision planning, monitoring and decision-making.
Participate and contribute as a member of the Listing and Membership Committee, which is responsible for regulatory decision-making, subject to approval and following appropriate training.
Ensure Membership Rule breaches are identified, recorded, actioned, communicated and escalated as necessary in a timely manner.

Skills / Qualifications

Do you have an analytical and investigative mindset and hold a relevant ICA or CISI qualification, with the ability to exercise good judgement when dealing with partial, ambiguous or complex information, as well as experience with mentoring or coaching others? If so, this could be the ideal role for you.

How To Apply

For further details and a full job description please call 711188, or email
If you wish to apply for this role, please submit your CV via the Apply Now button below.
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