Regulatory Relations Vice President
Core
Strategic management of complex regulatory examinations and coordination of continuous monitoring activities with US market conduct regulators (SEC, CFTC) for the Americas region.
Role type
Senior IC Vice President, Regulatory Relations
Builds
Strategic regulatory responses, remediation plans, and proactive relationships with supervisory bodies
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
Strategic management of regulatory exams, risk evaluation, stakeholder advisory, meeting leadership, regulatory landscape analysis, process improvement
Preferred skills
JD/MBA, experience with SEC/FINRA/CFTC/NFA, AI/OpenPages proficiency
Technologies
Teams, AI, OpenPages, Microsoft Office (Word, Excel, PowerPoint, Visio), SharePoint, Zoom
Responsibilities
Navigate and execute regulatory interactions with market conduct regulators, evaluate regulatory risks and advise on action plans, lead regulatory meetings and prepare internal stakeholders, maintain status of open examination issues, foster proactive relationships with regulators, keep senior management apprised of regulatory matters
Seniority
Senior, hands-on IC