Americas Market Conduct Regulatory Relations Director; AVP

Director, Americas Market Conduct Regulatory Relations Group

Support the Americas Market Conduct Regulatory Relations Group (AMCRRG) by coordinating regulatory exams, risk surveys, and continuous monitoring activities and enabling process improvement through documentation and technology (including Teams, AI, and Open Pages). In addition, the person will provide ad-hoc support on various Reg Relations initiatives, including across other Regulatory Relations regions/functions. This role partners closely with internal stakeholders and senior management to ensure timely, accurate, and well-controlled responses to regulators.

The Americas Market Conduct Regulatory Relations Group (AMCRRG) provides strategic advice on supervisory matters and centralized management of the activities of the Firm's regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities. AMCRRG serves as the central point of contact with supervisory market conduct regulators (e.g., SEC, CFTC) in the US to facilitate open, productive, and proactive relationships.

AMCRRG regularly apprises senior management of the Firm's market conduct regulatory relationships, including providing thought leadership.

The AMCRRG team is looking for a Director level professional to join our team. This individual will work closely with other members of the team and will be responsible for navigating, advising on, and executing all aspects of regulatory interactions with market conduct regulators and internal stakeholders, including:

• Front-to-back management of concurrent regulatory examinations and risk reviews, as well as the coordination of other ad hoc requests made by the SEC, CFTC, FINRA, NFA, state regulators, and other exchanges
• Communicating with regulators regarding document requests, areas of review, and potential findings
• Ensuring stakeholders are apprised of all key regulatory requests, meetings, and areas of focus, including both the status and resolution
• Maintaining a detailed understanding of the status of open examination and risk review issues
• Advising on the appropriateness of regulatory responses and remediation plans
• Assisting with regulatory meetings, including working with regulators on the agendas, preparation of internal stakeholders and materials, and the tracking and coordination of responses to follow-up requests
• Preparing other internal stakeholders for regulatory exam, risk review, and ad hoc meetings
• Fostering proactive relationships with regulatory counterparts and internal key constituents
• Keeping up-to-date on the Financial Services regulatory landscape, including trends and new rules

Please note that the location listed for this role is temporary. The position's work location will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date. In-person interviews will be required for the role.