GLOBAL UNIVERSAL BANK
Integrating Regulatory Compliance into a Trading Platform
A global universal bank introduced MiFID II investor protection requirements into its cross-asset trading platform to support regulatory compliance and consistent risk suitability and pre-trade checks.
INDUSTRY
Financial Services
DURATION
1.5 years
CAPABILITIES
Product & Project Leadership
IT Requirements Engineering
Data Modelling & API Specifications
Challenge
MiFID II introduced complex investor protection requirements that needed to be applied consistently across a high-volume, cross-asset trading platform.
The challenge was to translate regulatory rules into functional requirements and system logic while integrating them into existing trading processes.
Contribution
Led the development team as Product Owner, managing delivery priorities and driving the implementation of investor protection rules.
Translated regulatory and business requirements into functional IT specifications, defining risk suitability checks, business rules, data structures and API interfaces in collaboration with business and technology stakeholders.
Outcome
MiFID II investor protection rules were implemented within the trading platform, enabling consistent application of regulatory checks across more than 30,000 daily orders.