International investment bank located in Midtown Manhattan looking to bring on board a VP Global Markets Regulatory Compliance Advisory (Americas) to join their team.
This role is currently in a hybrid schedule (3 days in office).
Responsibilities :
- Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program
- Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations
- Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements (i.e., FINRA, SEC, NFA, and CFTC requirements)
- Communicate new regulatory requirements simply and efficiently to affected business and other functions and stakeholders to ensure compliance
- Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program
- Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk
- Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions
- Evaluate new products and activities to ensure compliance issues are identified and remediated and assist in documenting GMRC evaluation based on appropriate regulatory requirements and Compliance risks identified
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