A top tier American Investment Bank is currently building out their Operational Risk and Control team based in New York. The bank is looking to hire a VP of Regulatory Control to its Equity Sales & Trading division. This is a 1st line function that will be responsible for the overall supervisory program for the sales and trading desk activities to ensure compliance with rules/regulations and adherence to internal controls and policies.
The ideal candidate will have 7 plus years of experience in Compliance, Risk Management, or Trading Support covering sales and trading, proven ability of improving and monitoring control frameworks, and solid understanding of regulations and the Regulatory environment.
Responsibilities:
- Review sales and trading activities to ensure compliance
- Improve and monitor control frameworks / create new frameworks if needed
- Establish relationships across the business to ensure open communication and adherence to internal controls
- Identify, design and implement new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment
- Act as a key point of contact for regulatory engagement
Qualifications:
- 7 plus years experience in Compliance, Risk Management, or Trade Support
- Focus on sales and trading is preferred
- Management & leadership skills
- Ability to communicate with senior management
- Excellent analytical and organizational skills
- Strong understanding of regulatory rules and regulations
- Proficiency in data visualization tools (e.g. Power BI, Tableau, etc.) or automation tools (UI Path, etc.) a plus
