VP Regulatory Exam

Manhattan, New York Permanent USD150,000 - USD190,000 per year View Job Description
Our Client is looking for a Candidate experienced in managing regulatory examinations covering wholesale businesses.
  • Opportunity to join a growing firm in a fast paced/dynamic environment!
  • Ability to be dynamic and work on highly critical projects

About Our Client

Our Client is an Investment Bank

Job Description

  • Manage regulatory examinations across wholesale businesses, including operations, finance, reporting, and sales and trading, while preparing personnel for regulator meetings and deep-dive reviews.
  • Support the Firm's supervision program by running quarterly and ad hoc meetings with prudential regulators and providing updates on examination progress, regulatory findings, and remediation efforts.
  • Communicate extensively with regulators, draft written responses to requests and findings, and collaborate with business units to gather required information and address regulatory issues.
  • Analyze and summarize regulatory requests, track findings, escalate and resolve potential issues, and contribute to internal reporting and tracking processes.
  • Assist in the development of core compliance processes and participate in enterprise-wide projects to enhance regulatory engagement and risk management.



MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

  • Seven or more years securities compliance or related securities experience required.
  • JD desirable but not required.
  • Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.

What's on Offer

  • Competitive Base + Bonus
  • Full Benefits
Contact
Samantha Barrett
Quote job ref
JN-122024-6613991

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Samantha Barrett
Job Reference
JN-122024-6613991