- Validate interpretation of the rules with Legal and Compliance
- Structure regulatory project governance
- Partner with Drive teams to design the required Front to Back process and IT re-engineering
- Contribute to maintain a central repository of documents relating to each major regulation in scope
- Work closely with Global Markets trading and sales heads, GBLs and local Business Management and other internal business partners (Public Affairs, Risk, Finance and ITO), and act as a key contact point
- Promote when relevant the standardization of practices across all Global Markets
- Participate in training and awareness of staff
- Ensure regular update to management on key implementation risks.
- Advocacy & regulatory watch:
- Contributing to the advocacy efforts, when required, in collaboration with the PPRA team or the GM Regulatory team in Europe, providing input on implementation challenges when regulators propose new rules.
- Sharing knowledge with the business and organizing preliminary impact analysis
- Regulatory Change Management : Ensuring that new regulations impacting Global Markets activities are properly understood and that the required changes to behaviours, systems or processes are implemented ahead of the regulatory timeline
- Business-as-Usual Governance: For regulations that are already effective, the team is in charge of the governance framework, including running senior committees, where GMA Senior Managers, Compliance officers and other relevant functions discuss any compliance risks, results of controls and industry regulatory matters.
- Regulatory Inquiries and Examinations Management:
- This team acts a coordination point within GMA for all regulatory examinations and inquiries, interfacing with SRG
- Work in partnership with the US or global public affairs teams to ensure of areas that require advocacy are well identified
- Provide regular briefs to the business
- Participate to Industry forums (ISDA, SIFMA, FIA) when relevant
- This role should have a specific focus on the large rulemaking pipeline by SEC, Client and US Treasury that will likely result in significant changes in the time window.
- Equity market structures (Best execution, Order reporting, competition around retail orders, etc)
- US Treasuries & Repos clearing
- US Treasuries public dissemination
- Security Based Large Position reporting
- ESG Disclosures
- Trace Reporting
- Conflicts of interest for ABS
- Support Global Markets Business adaptation to new regulatory requirements by providing business with the necessary information to better understand impact of new regulations and define implementation priorities
- Validate interpretation of the rules with Legal and Compliance
- Structure regulatory project governance
- Partner with Drive teams to design the required Front to Back process and IT re-engineering
- Contribute to maintain a central repository of documents relating to each major regulation in scope
- Work closely with Global Markets trading and sales heads, GBLs and local Business Management and other internal business partners (Public Affairs, Risk, Finance and ITO), and act as a key contact point
- Promote when relevant the standardization of practices across all Global Markets
- Participate in training and awareness of staff
- Ensure regular update to management on key implementation risks
- Organize BAU forums to collect the results of relevant regulatory controls, internal audits, industry insights, regulatory guidance and provide GMA management with a complete picture of ongoing improvements and risks associated with our compliance framework
- Monitor all regulatory findings issued by agencies and verify that the relevant ownership and remediation plan has been established
- Answer questions from staff and clients if required
- Contribute to non Conduct RCSA if relevant
- 10 to 15 years' experience in financial sector. The role is open to Senior VPs who would meet the requirements below.
- Deep understanding of Corporate and Investment Banking / Capital Markets activities either working in Business, Risk, Audit or Operations departments
- Experience working directly with front office staff
- Prior involvement in regulatory projects applicable to Banks, Broker Dealers and FCMs also desired
- Ability to influence
- Ability to manage change and drive business process re-engineering
- Attention to detail and ability to manage multiple priorities, complete work accurately and in a timely manner against strict deadlines.
- Ability to work both independently and collaboratively with members of the management team and other colleagues across the bank
- Desired: Graduate business degree
- Project management & organizational skills
- Excellent analytical, verbal and written communication skills.
- Ability to interact with experienced managers (COO, CEO level) and provide effective briefs on risks and issues
- Strategic thinking and analytical reasoning
- Team player able to communicate efficiently with a global network of people (Business and Functional Partners, Group)
- Adaptability
- Proficiency in Microsoft Office (Word, Excel, Powerpoint, Project)
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Description
Immediate need for a talented Vice President/Director - US Global Markets (Regulatory) experience in the industry.This is a 10+ Months Contract opportunity with long-term potential and is located in Chesterbrook, PA(Onsite). Please review the job description below.
Job ID:
Pay Range: $110 - $125/hour. Employee benefits include, but are not limited to, health insurance (medical, dental, vision), 401(k) plan, and paid sick leave (depending on work location).
Key Responsibilities:
Pyramid Consulting, Inc. provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
