Overview

A global FinTech bank seeks a regulatory and compliance counsel.

The Regulatory Compliance Counsel (RCC) will manage the relationship between the bank and regulatory agencies, primarily the Federal Reserve. As a global firm, the RCC will also be responsible for the oversight and manage the relationship with the Bank of England (BoE). 

Responsibilities

  • Take a lead role in the New York office regarding:
    • Oversight and management of the interface with: (i) the FRBNY and BoE Supervisory teams regarding all ongoing supervisory activities; and (ii) the Fed Board Regulation HH team re: Regulation HH ANPC requirements.
    • Supervisory-related examination and monitoring activity; responses/progress updates relating to findings letters; remedial actions, including tracking to closure; and reporting to internal governance committee and the Board on remedial activities
    • “Materiality” determinations; filings and related submissions
    • Overall regulatory framework, including education/training
  • Provide guidance and advice related to Supervisory Affairs, enhance (as needed) policies/procedures, support the bank’s growth program through Regulation HH ANPC activities and embedded participation in project working groups
  • Support the CCO in developing and preparing document submissions to internal constituencies, such as Board/Committees and internal committees

Operational

  • Proactively build and maintain relationships with business lines in order to oversight and manage various types of deliverables involving input from a number of stakeholders
  • Serve as a Supervisory Affairs expert resource and coordinate and oversight related regulatory activities and engagement
  • Manage and oversight supervisory activity; be proactive and trouble-shoot as needed
  • Act as point person and trusted advisor on items/topics within the Supervisory Affairs remit
  • Participate effectively in internal governance/ working groups for projects and initiatives, including active facilitation of the shaping/ drafting of required regulatory filings
  • Interface proactively and effectively with and provide support for supervisory regulators, particularly, the FRBNY and BoE supervisory teams and Fed Board staff in regard to ANPC-related matters
  • Be innovative, prioritize and manage a high volume workload, with multiple tasks and deadlines

Leadership

  • Collaborate across the company to maintain and enhance supervisory interface
  • Strategize, influence and advise business lines in regard to Supervisory Affairs remit
  • Support and serve as a resource for strategic initiatives
  • Foster a culture of compliance; manifest and support the Compliance Brand

Experience / essential and desired for successful job performance

  • Juris Doctor from recognized Law School or UK/EU equivalent
  • Strong knowledge of applicable US regulatory framework and related laws/regulations
  • Significant experience in a law firm and/or in compliance/legal functions of a regulated financial services industry

Qualifications / certifications

  • Juris Doctor from recognized Law School or UK/EU equivalent

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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