Regulatory Compliance Specialist
3 weeks ago
Job Description
We are partnered with a global financial services firm seeking an experienced Regulatory Compliance specialist. This role will provide compliance oversight and hands-on business advisory across all business lines. The focus areas include F/X considerations and coordination with federal and international regulators.
The Role:
- Staying abreast on regulatory changes, interpreting and implementing them across the firm's business areas.
- Preparation of regulatory change reporting
- Providing compliance oversight to the development of new business initiatives and processes to ensure they comply with regulatory obligations
- Designing strategies to prevent compliance risk, managing risk analyses. Supporting risk and controls and risk assessments as part of the Operational Risk Management Framework
- Preparing and coordinating internal and external reports. Working with federal and international regulators.
- Design and support business-wide compliance training
Requirements
- 5+ years compliance experience in financial services / legal environment.
- Legal education or experience is a plus.
- Knowledge / experience with relevant legislation and regulation is a plus (ex: reg HH, reg Y, foreign exchange, PvP, RTGS, Bank Holding Company Act, working with international regulators).
- Proven Compliance Advisory support experience
- Experience designing and managing compliance training programs
- Experience analyzing and implementing regulatory reform measures
- Ability to work hybrid in NYC or London (salary range in USD)
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