Director of Regulatory Strategy — Global Markets
Madison-Davis, LLC, New York, NY, United States
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).
Responsibilities 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.
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Responsibilities 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.
#J-18808-Ljbffr