US Regulation Compliance Advisory

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.