VP Regulatory Attorney

VP Regulatory Attorney

  • Location

    New York, United States

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Contact:

    Paul McGuinness

  • Job ref:


  • Published:

    over 2 years ago

  • Expiry date:


  • Consultant:


My client is a leading global corporate and investment bank with a large presence in the Americas.

The bank is seeking an experienced attorney to join the Regulatory Unit of the Legal Department in New York.  The attorney will assist in advising management, front office and administrative staff on the interpretation and application of rules and regulations applicable to US operations, particularly the Bank Holding Company Act, the Volcker Rule and the Enhanced Prudential Standards.  The attorney will also provide support for corporate governance of the US subsidiaries and LATAM offices, and negotiate and prepare vendor contracts, leases and other third party agreements.  Knowledge of sanctions, anti-corruption, and anti-money laundering rules and regulations is helpful, but not required, though the attorney should be willing to learn these rules and regulations. 


Description of the department:

The Legal Department operates in a collegial and collaborative environment, and advises and supports internal business clients on transactions, risk management, litigation, and compliance-related issues, among other things.  The Legal Department also advises and disseminates information on recently-implemented laws, rules and regulations that may affect internal clients and their business or product lines.


Key Responsibilities:

  • Provide regulatory advice and analysis to management and business lines on the permissibility and appropriateness under U.S. banking laws and regulations of proposed activities, transactions and investments.
  • Provide corporate governance support for U.S. subsidiaries and LATAM offices.
  • Draft and negotiate vendor contracts, service level agreements, leases and licenses involving CACIB entities.
  • Provide advice and support to Compliance Department on application of laws and regulations.
  • Assist in the preparation of regulatory filings.
  • Provide sanctions, ABC, AML advice on sanctions, ABC and AML rules and regulations to business lines on the impact of such rules on various transactions.
  • Provide support to Regulatory Unit attorneys in accordance with needs and under supervision of senior department attorneys.
  • Assist in preparation of materials for presentations to management, front office and administrative staff.
  • Assist in preparation and distribution of monthly updates to management committee.

Required Education / Experience

  • JD qualified and member of a state bar
  • Minimum of 5 years experience executing the responsibilities detailed above
  • Extensive demonstrable knowledge of Bank Holding Company Act, Volcker Rule, Enhanced Prudential Standards, Dodd Frank Act, General Contract Law, Sanctions, ABC and AML
  • Proven ability in analysing and summarizing complex financial rules and regulations
  • Ability to work both autonomously and as part of a team.