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Director US Regulatory Relations (00699601)

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Company: Forum Group

Location: New York City, NY

Date Posted: January 25, 2015

Source: eFinancialCareers Ltd

Director US Regulatory Relations

* Salary:  Base salary, bonus and benefits.
* Location:  New York, NY, USA
* Job Type:  Permanent, Full time
* Company:  The Forum Group
* Posted on:  23 Jan 15

Our client a global investment bank seeks to add a Director level hire to lead their Regulatory Relations & Examinations division.

* Assist in leading examinations across all US Regulators
* Advisory role with Control Functions and the business
* Serve as a primary liaison for Regulators with regards to a specific function(s) or practice
* Regular and frequent interaction with senior management and Regulators on global issues
* Represent the Regulatory Relations function in all meetings with Regulators
* Train/educate and potentially manage colleagues
* Respond to Regulatory letters or requests for information
* Coordinate or manage the flow documents and meeting requests and information production to regulators
* Responsible for review of all documents to be produced to exam staff
* Responding to examination related correspondence
* Manage various ...
Director US Regulatory Relations

* Salary:  Base salary, bonus and benefits.
* Location:  New York, NY, USA
* Job Type:  Permanent, Full time
* Company:  The Forum Group
* Posted on:  23 Jan 15

Our client a global investment bank seeks to add a Director level hire to lead their Regulatory Relations & Examinations division.

* Assist in leading examinations across all US Regulators
* Advisory role with Control Functions and the business
* Serve as a primary liaison for Regulators with regards to a specific function(s) or practice
* Regular and frequent interaction with senior management and Regulators on global issues
* Represent the Regulatory Relations function in all meetings with Regulators
* Train/educate and potentially manage colleagues
* Respond to Regulatory letters or requests for information
* Coordinate or manage the flow documents and meeting requests and information production to regulators
* Responsible for review of all documents to be produced to exam staff
* Responding to examination related correspondence
* Manage various tracking MI to manage and report on examinations

Other duties to include:

* Ad-hoc projects related to Compliance initiatives

Person Requirements

Basic Qualifications:

* 4-year undergraduate degree
* Law School or Graduate School a plus
* 10+ years experience in Compliance or Regulatory Relations function

Preferred Qualifications:

* Excellent communicator
* Understanding of Federal Reserve Board, SEC, FDIC and FINRA Rules
* Demonstrated writing skills
* Self motivated, Diligent and Methodical
* Manage own work within deadlines
* Demonstrated ability to be organized and able to work under pressure
* Demonstrated analytical skills
* Demonstrated writing and communication skills
* Team player

Flexible and adaptable approach to tasks
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