AVP Regulatory Change Compliance

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 19 Oct 17 2017-10-19

Our client, a top tier global investment banks seeks to add an AVP to it's Regulatory Change Compliance group. The group facilitates the understanding of regulatory change items/events, as well as provides cross-regional support on the analysis and implementation of regulatory change items in order to achieve global consistency across all impacted Businesses / Divisions and Infrastructure functions in relation to those regulatory change items with extra-territorial impact.

Key Responsibilities

• Identify, assess, and conduct impact analysis on all relevant new and amended rules and regulations in the US and globally
• Coordinate with relevant stakeholders and track the implementation of any required changes to current policy / practice as a result of new and amended rulemaking
• Advise on all action planning deliverables for relevant rulemaking (including  front and back office system developments/enhancements and monitoring/surveillance, as needed)
• Track and report implementation of projects required by material regulation. Draft and update presentations and other senior management reports related to rulemaking and regulation
• Draft and update policies/procedures, compliance alerts and training to conform to new regulations and rule requirements
• Facilitate US implementation / issue identification / tracking of cross-border and extra-territorial rules/regulations, e.g. MiFID II, MAR
• Infrastructure regulatory change experience a plus

Required level of skills, abilities and knowledge

To perform the responsibilities associated with this position, the ideal candidate will have the following qualifications:

• Relevant general broker-dealer / investment advisory / asset management regulatory experience, preferably in an investment bank or law firm
• Legal degree from US accredited law school or equivalent
• Good knowledge of applicable SEC (33 Act, 34 Act and 40 Act), FINRA, MSRB, CFTC, NFA, Fed, NYSE and other federal securities and banking laws, rules and regulations
• Must be analytical, proactive and have a structured and organized approach, which demonstrates a high level of attention to detail to ensure that high quality deliverables are produced
• Excellent oral and written communication skills proven through experience of MI reports and statistics delivered to senior management