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Director - Regulatory Compliance
Ref No.: 18-03287
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 140,000.00 - 1,450,000.00 /Hour
A financial services firm is looking for a Director – Regulatory Compliance. The Director - Regulatory Compliance will be part of a team that is responsible for acting as the primary point of contact with regulators and managing the inquiry and examination process. It is also responsible for making regulatory submissions, filings, notifications and disclosures to regulators. It further addresses compliance-related questions and issues from staff, and provides advice in enhancing policies, procedures and controls. Lastly, it is responsible for analyzing, investigating and handling conduct-related complaints and internal incidents. This role will cover North American Operations.
 
Responsibilities
The primary responsibilities of the role are:
  • Providing advice and guidance to line of business, operational and other support/control functions
  • Conducting internal reviews and investigations designed to analyze and resolve internal incidents, and complaints from third parties, relating to a breach of a law, rule regulation or internal compliance requirement, and coordinating and reporting on the Compliance Department's incident and complaint handling process globally;
  • Supporting, as needed, the SEC and OSC examination an enquiry process;
  • Participating in Compliance Risk Assessments and Operational Risk Assessments
  • Developing strong, positive and constructive relationships with regulators, Compliance colleagues and other internal stakeholders.
 
Qualifications and Experience
The ideal candidate will possess the following qualifications and experience:
  • Required: 7 - 12 years of hands-on experience in supporting the regulatory or compliance programs of large, multi-national, financial services
  • Required:  Undergraduate degree