Vice President, Compliance - Regulatory Exam Management

Vice President, Compliance - Regulatory Exam Management

About the Company

A leading global financial institution specializing in wholesale banking and capital markets.

Industry
Banking

Type
Public Company

About the Role

The Company is in search of a Vice President for its Regulatory Exam Management team within the Compliance department. The successful candidate will be responsible for leading and managing regulatory examinations, inquiries, audits, and supervisory engagements that span a wide range of wholesale banking and capital markets activities. This pivotal role involves significant interaction with regulators, senior management, and various business lines, including sales and trading, operations, finance, and regulatory reporting. Key responsibilities include preparing teams for regulatory meetings, coordinating with regulators, analyzing and summarizing documentation, and drafting responses to regulatory inquiries. The role also requires close collaboration with internal teams on regulatory matters, providing updates to senior management, and contributing to the enhancement of compliance processes and frameworks. Applicants for the Vice President position should have a Bachelor's degree, with a J.D. being preferred, and at least 7 years of experience in securities compliance, regulatory, legal, or related financial services. The ideal candidate will have a strong knowledge of broker-dealer regulations, sales and trading activities, regulatory reporting, finance, and operations. Experience in managing regulatory examinations and direct interactions with regulators and auditors is essential. The role demands excellent communication, analytical, and problem-solving skills, as well as the ability to manage multiple priorities in a fast-paced environment. Strong stakeholder management and relationship-building skills are also required, with a preference for candidates who have experience in preparing executive-level reporting and regulatory correspondence. Proficiency in Microsoft Office applications is a must.

Travel Percent
Less than 10%

Functions

• Legal