Director of Regulatory Strategy — Global Markets

Overview

An international investment bank located in Midtown Manhattan looking to bring on board a “Director of Regulatory Strategy — Global Markets SBSD” to join their team. This role is currently in a hybrid schedule (3 days in office).

• Coordinate and manage regulatory compliance examinations, including the preparation and coordination of responses to regulatory inquiries.
• Develop, maintain, and enhance policies and procedures to ensure adherence to applicable regulatory requirements.
• Clearly and efficiently communicate new regulatory requirements to relevant business units and stakeholders to promote understanding and compliance.
• Assess the inherent risks of business units and evaluate the effectiveness of mitigating controls to minimize residual risk, including reputational, regulatory, and operational risks, through a robust surveillance and monitoring program.
• Design, implement, and maintain compliance systems that align with industry best practices and effectively reduce regulatory risk.
• Provide guidance on applicable regulations, as well as internal policies and procedures, to internal stakeholders such as trading, sales, and support functions.
• Review and assess new products and business activities to identify, address, and remediate potential compliance risks.
• Support the Chief Compliance Officer (CCO) in overseeing the Bank’s security-based swap dealer and swap dealer compliance programs.
• Contribute to the preparation and completion of the annual CCO report.