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VP Regulatory Change

VP Regulatory Change

  • Location

    New York, United States

  • Sector:

    Compliance & Financial Crime

  • Job type:

    Permanent

  • Salary:

    $130,000 - $140,000

  • Contact:

    Chris Markley

  • Contact email:

    chris.markley@jcwresourcing.com

  • Job ref:

    61669

  • Published:

    3 months ago

  • Expiry date:

    2020-12-02

  • Consultant:

    #

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.

Responsibility

  • 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

 

Qualifications

  • 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
We aim to be an equal opportunity recruiter and we are determined to ensure that no applicant receives less favourable treatment on the grounds of gender, age, disability, religion, belief, sexual orientation, marital status, or race, or is disadvantaged by conditions or requirements.