Regulatory policy

2.4.1 Regulatory policy

Description of role

Responsible for determining prudential and conduct of business rules requirements based on risks identified, standards set by relevant by IOSCO and relevant bodies including FATF and on international leading regulatory practices.

Core technical skills

Knowledge of overall structure of capital markets and financial sector
Ability to evaluate risks in market
Knowledge of supervisory risks, inter-linkages of the issue with the capital markets and the wider economic system
Knowledge of standards and principles of IOSCO
Knowledge of concepts of proportionality and risk based regulations
Evaluate financial analyses of proposed regulation to determine optimal solution
Ability to analyse and hypothesise effects of regulation
Ability to determine need for revoking or changing a regulation
Articulate the connectivity and impact of current regulations and any proposed new regulation
Ability to direct the development of policy based on business rules and identified risks in line with local statutory requirements and international conventions
• Articulating regulation(s) such that they are completely transparent and also not open to wide interpretation
• Ensure that the proposed regulation will meet the performance criteria of current standards under testing

Qualification and/ or certification

QFSQF Level 3
Relevant experience

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