Head of Regulatory Affairs - Investment bank - NYC

Job Title: Head of Regulatory Affairs - Investment bank - NYC
Contract Type: Contract
Location: New York, USA
Salary: US$200000.00 - US$210000.00 per year
Reference: BBBH18687_1532712472
Contact Name: Ben Ellison
Contact Email:
Job Published: July 27, 2018 18:27

Job Description

Head of Regulatory Advisory - Compliance

The Head of Regulatory Advisory is responsible for providing guidance, advice, and developing regulatory engagement and action strategy for the country manager, and the senior management of the firm. This role will provide leadership, and strategy in all areas of Regulatory Interaction, ongoing Guidance to Compliance on our BSA/AML Program, specifically on focus, strategy, execution prioritization, and content for delivery to regulators, as well as internal leadership.

  • Deep experience interacting with and engaging in discussions with US financial Service regulators including the DFS, Fed, and or OCC - ability to anticipate and influence
  • Significant knowledge of US BSA/AML Laws and Regulations as well as experience deploying and executing against a BSA/AML Strategy under urgent and critical circumstances
  • Ability to interact, engage with and lead 3rd party consultants
  • Experience interacting with and presenting at all levels of institution, Executive Management, C-Levels, and Board at times
  • Ability to craft, develop, and deliver board level presentations highlighting audience-appropriate information, and ensuring required risks and escalations are presented in a clear concise fashion
  • Thought leadership across management team on Regulatory / AML matters
  • Drive the regulatory engagement strategy of NY / Drive remediation approach
  • Provide leadership and direction on all remediation activities working hand in hand with compliance, setting priorities, approach, and design of compliance artifacts/documents
  • Strategize with BSA/AML officer on BSA/AML Program design driving towards a program that will meet regulatory expectations / advise on legal matters when qualified to do so
  • When needed, be willing to be hands on in the design and development of all program requirements, responsibilities include leadership and hands on execution