Overview

Description

Job Description:

Our client, a global banking and financial services company, is looking for a Regulatory Change and Implementation Compliance Officer.  The Regulatory Change and Implementation Compliance Officer will report to the Head of Markets Regulatory Implementation in Global Markets and Securities Services Compliance, which provides coordination and oversight of regulatory change management and advises on the implementation of U.S. regulations. This position will primarily work with the Markets Regulatory Implementation Head to drive regulatory change management for the Markets Sales and Trading businesses and identify, develop and implement policies and procedures, processes, and controls pursuant to new laws, regulations, rules, and interpretations or guidance issued by U.S. market regulators including the SEC and CFTC; FINRA, NFA, and other SROs; and bank regulators.

Responsibilities:

The position will also encompass Dodd-Frank Act regulation, swap dealer rules, and Volcker Rule-related responsibilities, including interpretation and application of regulatory requirements.

More specifically, the position will:

  • Identify and analyze regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Markets businesses (across asset classes including equities, futures, fixed income, rates, credit, FX, and commodities).
  • Analyze and scope the impact of new and complex regulatory developments across businesses, including enterprise-wide.
  • Advise Compliance and Business management and staff on regulatory and compliance issues as well as strategic implications.
  • Participate in industry groups and trade association working groups or other forums.
  • Lead initiatives and manage high-impact special projects with a results-driven focus, including coordinating the implementation of new regulatory requirements and compliance program design.
  • Draft and implement policies and procedures to set consistent standards across businesses or product lines.
  • Proactively review, design, and enhance processes and/or controls.
  • Partner with other Compliance teams and global functions, including Legal, Middle Office, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

Qualifications:

  • Bachelor’s degree required, JD highly preferred.
  • Regulatory practice work experience or equivalent, minimum 7years; experience at top law firm, regulatory agency or trade association, a plus.
  • Strong knowledge of securities regulation.
  • Strong knowledge of swaps and derivatives regulation.
  • Relevant experience with Dodd-Frank Title VII regulation or Volcker Rule highly preferred.
  • Excellent oral and written communication skills, including the ability to articulate complex regulations and rules.
  • Self-starter that demonstrates initiative, creativity, and resourcefulness to manage projects and can work independently.
  • Ability to think critically and strategically.
  • Ability to work collaboratively, meets deadlines, and performs tasks in a timely manner.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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