KOR Financial

Compliance

• Actively track and analyze regulatory developments, proposed rules, final rules, and guidance from key global regulators, including the CFTC, SEC, Canadian provincial regulators.
• Perform detailed analysis of regulatory changes to determine their potential impact on clients’ derivatives trading desks, operations, technology, and control functions.
• Conduct in-depth legal and regulatory analysis, providing clear, concise, and actionable summaries.
• Draft detailed regulatory analyses, highlighting key obligations, impacts, and implementation considerations for internal stakeholders and clients.
• Develop and maintain knowledge base articles to educate and inform clients on regulatory changes.
• Create requirement outlines for product and compliance teams based on regulatory developments.
• Act as a point of escalation for regulatory questions from clients and internal stakeholders.
• Participate in client meetings to provide subject matter expertise on regulatory requirements.
• Provide detailed, practical advice on reporting requirements for different categories of market participants (dealers, end-users, asset managers, etc.).
• Partner with Product and Technology teams to ensure regulatory requirements are accurately translated into system functionality.

Manager, Regulatory Intelligence

• Actively track and analyze regulatory developments, proposed rules, final rules, and guidance from key global regulators, including the ESMA, FCA and other global authorities
• Perform detailed analysis of regulatory changes to determine their potential impact on clients’ derivatives trading desks, operations, technology, and control functions
• Conduct in-depth legal and regulatory analysis, providing clear, concise, and actionable summaries
• Draft detailed regulatory analyses, highlighting key obligations, impacts, and implementation considerations for internal stakeholders and clients
• Develop and maintain knowledge base articles to educate and inform clients on regulatory changes
• Create requirement outlines for product and compliance teams based on regulatory developments
• Act as a point of escalation for regulatory questions from clients and internal stakeholders
• Participate in client meetings to provide subject matter expertise on regulatory requirements
• Provide detailed, practical advice on reporting requirements for different categories of market participants (dealers, end-users, asset managers, etc.)
• Partner with Product and Technology teams to ensure regulatory requirements are accurately translated into system functionality
• Review and validate design specifications and product features related to trade reporting
• Review client success implementations for regulatory completeness and accuracy
• Represent KOR in industry working groups and contribute to shaping market understanding of regulatory obligations.

Manager, Regulatory Intelligence – UK/EU

Director

• Serve as the ultimate owner and senior subject matter expert for regulatory intelligence and change management for a designated set services.
• Lead the strategic monitoring and interpretation of the global derivatives regulatory landscape, focusing on key regulators such as the CFTC, SEC, ESMA (EMIR), UK FCA (MiFID II), Canadian regulators, ASIC, and MAS.
• Own and govern the end-to-end software development lifecycle for your product area.
• Drive engagement with senior leaders across Technology, Operations, Legal, and Compliance.
• Lead the translation of complex regulatory text into clear, actionable business and functional requirements.
• Establish and maintain a robust governance framework for regulatory change within your product area.
• Provide guidance, mentorship, and development to junior members of the product development team, fostering a culture of excellence and deep subject matter expertise.

Director, Product Development

Analyst

• Monitor the Regulatory Horizon: Actively track and analyze regulatory developments, proposed rules, final rules, and guidance from key global regulators, including the CFTC, SEC, ESMA (EMIR), UK FCA (MiFID II), Canadian provincial regulators, ASIC (Australia), and MAS (Singapore).
• Conduct Impact Assessments: Perform detailed analysis of regulatory changes to determine their potential impact on the firm's derivatives trading desks, operations, technology, and control functions.
• Translate Regulation into Requirements: Lead the process of gathering and documenting business requirements based on regulatory mandates. Write detailed specifications and user stories for technology teams to build and implement compliant solutions.
• Liaise with Technology Teams: Serve as a key subject matter expert for development teams. Review technical designs, clarify requirements throughout the software development lifecycle, and participate in user acceptance testing (UAT) to ensure solutions fully meet regulatory objectives.
• Synthesize & Communicate: Produce clear, concise, and actionable intelligence reports, summaries, and presentations for a variety of audiences, from senior management to implementation teams.
• Data-Driven Analysis: Perform data-driven analysis to model the potential impact of regulatory changes using tools such as Microsoft Excel or other data analytics platforms. Query and analyze data from relational databases using SQL to support your findings.
• Collaborate Cross-Functionally: Partner with Legal, Compliance, Front Office, Technology, and Operations to provide subject matter expertise and advise on the practical implementation of new regulatory requirements.
• Manage Regulatory Change: Contribute to the regulatory change management lifecycle, using tools like Jira to track the progress of implementation projects stemming from new rules.

Manager, Regulatory Intelligence

Manager, Regulatory Intelligence – UK/EU

Director, Product Development

Senior Analyst, Product Development