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Vice President, Regulatory Compliance Management

  • NYC
  • Full Time

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Broker dealer located in Midtown Manhattan looking to bring on board a “Vice President, Regulatory Compliance Management” to join their team. This role is currently in a hybrid schedule (2 to 3 days in office / week).

Responsibilities:
• Support the continued development of the RCM program which include: policies and procedures, regulatory inventory, issues management, control mapping, rules mapping, risk assessments and regulatory change.
• Provide centralized and streamlined coordination for the Spring and Fall Compliance Risk Assessment process
• Support the enhancements to the Compliance program to comply with regulatory expectations and to align where appropriate across global and US compliance programs
• Support the Regulatory Change process
• Implement and centralize issues management program and appropriate tracking/reporting of issues. Work closely with Monitoring and Testing team in issues management.
• Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.
• Manage aspects of the development and maintenance of the Firm’s Regulatory Inventory and support Compliance in related activities including managing regulatory change business mapping, control mapping and automation.