Head of Regulatory Relations, Corporate Governance, and Registrations

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This role is based in the United States and as such all normal working days must be carried out in the United States.

Job Description

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Head of Regulatory Relations, Corporate Governance, and Registrations. Director

We are looking for an experienced attorney to oversee the Regulatory Relations, Regulatory Registrations, and Corporate Governance responsibilities within the U.S. The Director-level role will report to the U.S. General Counsel.

This person will oversee a team consisting of the corporate secretary, registrations personnel, and regulatory relations personnel. The person assuming this newly created role will manage and drive the strategy for regulatory relations on behalf of NatWest Markets, working closely with U.S. regulators including responding to inquiries and managing examinations.

The role requires an experienced attorney, and it will be mandatory that they have had practical experience interacting with external regulators. A robust understanding of U.S. securities regulations is also required, along with foundational knowledge and understanding of the policies, practices and controls that exist across the organisation.

Key Responsibilities:

• Develop and oversee the Regulatory Relations, Regulatory Registrations, and Corporate Governance team.
• Manage and direct the strategy for regulatory relations on behalf of NatWest Markets with U.S. regulators (i.e., SEC, CFTC, NFA, and FINRA). Responsibilities include communicating with regulators, responding to inquiries, and managing examinations.
• Establish and embed a robust understanding of U.S. regulations within the team.
• Prepare and present formal written reports to senior management on the status of regulatory exams.
• Maintain strong stakeholder engagement within the organization and support functions, and continue to establish ongoing, long-term relationships
• Keep current with industry specific emerging risks, trends and issues across the industry.
  
  
  

Education and Experience:

• Legal experience (either in-house, at a law-firm, or a combination thereof) working with U.S. securities regulators
• JD required, MBA preferred.
• Strong understanding of the broker dealer and swap dealer business and associated regulations, regulators, and self-regulatory organizations.
• Excellent knowledge of privilege, work product, and other confidentiality considerations when responding to regulators.
• Good knowledge of broker-dealer and swap dealer processes and business.
• Excellent communication skills in interacting with non-executives, executive management, regulators, and across a number of business lines and control functions.
• Proven track record in the preparation and presentation of formal written reports to senior management.
• Experience managing and providing strategic direction to a dynamic team.
• Strong organization, written, verbal and presentation skills.
• Willingness to take on additional duties as necessary.
• Proficient in the use of technology.
  
  
  

The expected base annual salary range for this position is $250,000 - $275,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here.