Job Description
A leading global financial institution is seeking a Vice President for its Compliance Advisory function, focusing on US regulatory compliance within the EMEA region.
Responsibilities:
* Develop and enhance the US regulatory compliance framework and workflow for the EMEA region.
* Oversee day-to-day management of US regulatory tasks, ensuring timely and accurate reporting to relevant authorities.
* Advise and support business lines on US regulatory matters, including risk identification, escalation, and mitigation.
* Collaborate with US and APAC compliance teams to ensure consistent global regulatory standards.
* Deliver training to front office staff on US regulatory and conduct requirements.
* Prepare and present annual compliance reports for CFTC/NFA and SEC obligations.
Requirements:
* Strong knowledge of US regulatory compliance, particularly CFTC, NFA, and SEC requirements.
* Expertise in market compliance for investment banking products, including loans, bonds, structured finance, sales, and trading.
* In-depth understanding of MAR, MiFID II, and risk and control frameworks.
...