New York, United States
$130,000 - $140,000
3 months ago
Our client, a global investment bank, is currently looking to expand it's compliance team with a VP Regulatory Change within it's New York City office. This role will be remote for the foreseeable future.
- You will be responsible for leading compliance reviews, developing and maintaining compliance plans, related policies and procedures and monitoring compliance with these policies
- Assessing impact of regulatory developments on business lines, functions, and the bank's Compliance Program.
- Implementation of compliance programs/controls frameworks relevant to regulatory risks and requirements around equities and fixed income business areas.
- Work closely with the regulators to support and influence the development of proposed laws, rules, and regulations and interpretation of existing rules.
- Participating in industry conferences and updating the relevant groups on their progress and any upcoming changes that may affect the bank
- At least five years' of relative Compliance experience
- BA required, JD preferred
- Strong knowledge of the US federal securities laws- particularly Volcker/Dodd Frank - knowledge of other US and non-US regulatory requirements (e.g., FINRA, SEC, NFA, CFTC,) a plus
- Series 7 and 24 a plus