What are the responsibilities and job description for the Regulatory Relations -VP position at Howard-Sloan Search?
We're partnered with a Global Investment Banking firm looking for a proactive & analytical Vice President focused on keeping abreast of the changing, complex, regulatory landscape: providing guidance on potential impact of the firm & collaborating corss deprtmentally to implement mitigating policies, procedures & controls.
2 days a week onsite in Stamford CT
Responsibilities:
- Responsible for tracking changes to regulation and new regulations and ensure they are embedded across relevant teams.
- Ensure that policies and procedures are in compliance with the relevant regulatory changes.
- Collaborate with Legal and Compliance colleagues globally, to assist with remediation of gaps, deficiencies, or required enhancements to existing policies, processes and procedures.
- Work with change teams and the business to document and implement processes to adhere to the new regulations.
- Monitor and internally communicate U.S. industry developments impacting firm globally.
- Participate in various internal and external working groups, committees, and forums and provide regulatory updates.
- Assist with the coordination and delivery of required training.
The ideal candidate has 5 years of relevant experience & in-depth knowledge and comprehension of regulatory requirements and global regulatory and industry trends relevant to derivatives (specifically CFTC/NFA swap dealer rules and regulations) and SEC/FINRA rules governing broker-dealers.
Desirable:
- Project management experience in the area of regulatory compliance.
- Knowledge of rules and regulations pertaining to the futures markets
Salary : $160,000 - $180,000
