VP Regulatory Exam

Our Client is looking for a Candidate experienced in managing regulatory examinations covering wholesale businesses.

Client Details

Our Client is an Investment Bank

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.

Profile

• 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.

Job Offer

• Competitive Base + Bonus
• Full Benefits

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.