Regulatory Relations VP

Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.

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.

We are looking for an individual to be part of the Regulatory Relations and Corporate Governance responsibilities team within the US legal Team. The role will report to the Head of Regulatory Relations and Corporate Governance.

The role demands an individual with practical experience interacting with external regulators. An understanding of US regulations is also required along with a knowledge of the policies, practices and controls that exist across the organisation.

Using the internal governance frameworks, the role holder will be part of a team responsible for embedding key regulatory recommendations to enhance performance and improve the control environment.

Key Responsibilities:

• Key involvement for regulatory relations on behalf of NatWest Markets with US regulators including responding to inquiries and running examinations.
• Establish a robust understanding of US regulations and of the swap business within the team.
• Responsible for the preparing and presenting formal written reports to senior management.
• Report and escalate issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.
• Maintain strong stakeholder engagement with the business and support functions by building ongoing relationships
• Keep current with industry specific emerging risks, trends and issues across the industry.
  
  
  

Education and Experience:

• Experience working with US regulators
• Strong understanding of the swap business and associated regulations.
• Good knowledge of broker-dealer and securities processes and business.
• Excellent communication skills in interacting with 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.
• 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 $150,000 - $175,000 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.