Department Overview
The Global Markets Documentation Regulatory Team in Global Markets is an integral part of the Investment Bank
The group provides best-of-class service to business partners in (the Bank) The Regulatory
Team is responsible for implementing and ensuring compliance with G20 regulations for trading clients.
The successful candidate will engage global clients in the Over-The-Counter (OTC) derivatives space to ensure regulatory compliance.
The role requires the analysis and review of bank and client regulatory and legal trading
documentation on a daily basis. The role will involve leading new regulatory strategic initiatives and implementation across clients and the Dealer in the region
Principal Responsibilities
• Understand the current state of legislation, regulation, and guidance with respect to OTC derivative transactions
globally including Canada, the US, the EU, the UK, Singapore. This candidate will be responsible for regulations in
the region.
• Communicate OTC derivative regulatory requirements to clients and their legal representatives in a business-
friendly manner in order to finalize regulatory documentation;
• Prepare and thoroughly review the necessary legal documentation requirements and disclosures to ensure the
Dealer's regulatory obligations are met;
• Work with the trading desks to understand client needs and prioritize high value relationships;
• Ensure support is provided to trading desks in a timely manner across several time zones including UK, North
America, Europe, and Asia;
• Explain the necessity and significance of OTC derivative regulations to internal and external stakeholders
• Develop a solid understanding of the Bank’s requirements in areas of global regulatory framework, credit and
documentation;
• Review and analysis of new regulations impacting the Dealer, participate in working group for new strategic
initiatives in regulatory documentation
• Review and analyze the Dealer's new and existing client base to ensure regulatory compliance on a day to day
basis;
• Utilize technology to track and monitor workflow and updating databases with required information;
• Produce reports and status updates as required;
• Escalate issues proactively and in a timely manner;
• Be a reliable source of reference to internal business partners;