A global financial institution is seeking an experienced regulatory compliance professional to join a strategic Compliance Initiatives and Advisory team supporting wholesale banking and capital markets businesses. This role will serve as a subject matter expert on U.S. Banking regulations, providing guidance on regulatory requirements, compliance risk management, governance, and program enhancement initiatives.
The successful candidate will work closely with business leaders, Legal, Risk, Audit, and Compliance partners to strengthen regulatory frameworks, support remediation efforts, and ensure compliance programs remain aligned with evolving supervisory expectations.
RESPONSIBILITIES
Regulatory Advisory & Interpretation
Provide practical guidance on the application of U.S. Banking regulations and supervisory expectations impacting wholesale banking and capital markets activities.
Advise business and control function stakeholders on regulatory developments, policy interpretations, and implementation requirements.
Analyze new and emerging regulatory requirements and assess their impact on business activities, products, and operational processes.
Prepare written analyses, guidance documents, and regulatory interpretation materials for internal stakeholders.
Compliance Oversight & Risk Management
Perform independent reviews and second-line oversight activities to assess regulatory compliance and control effectiveness.
Design and implement monitoring protocols, governance controls, and compliance oversight processes.
Identify regulatory risks, control gaps, and remediation opportunities while providing effective challenge to business activities.
Support issue management and corrective action initiatives designed to strengthen regulatory compliance frameworks.
Program Development & Governance
Assist in the development, enhancement, and maintenance of compliance programs, policies, procedures, and governance standards.
Support regulatory change management and compliance transformation initiatives.
Partner with stakeholders to implement supervisory controls and operational processes aligned with regulatory expectations.
Participate in strategic projects involving governance, remediation, and compliance program modernization.
Regulatory Engagement & Training
Support regulatory examinations, inquiries, audits, and supervisory reviews.
Assist in drafting responses to regulatory requests, examination findings, and audit observations.
Coordinate remediation efforts resulting from regulatory reviews and internal assessments.
Develop and deliver compliance training programs focused on regulatory obligations and risk management practices.
QUALIFICATIONS
QUALIFICATIONS
Bachelor's degree required.
5 10 years of experience within Compliance, Regulatory Affairs, Legal, Risk Management, or a related control function at a financial institution or regulatory organization.
Demonstrated expertise in U.S. Banking regulations and supervisory frameworks.
Experience providing regulatory advisory support and interpreting regulatory requirements for business stakeholders.
Strong understanding of wholesale banking, capital markets, broker-dealer, or related financial services activities.
Excellent analytical, issue-spotting, and problem-solving skills.
Strong written and verbal communication abilities.
Ability to manage multiple priorities and operate effectively in a fast-paced environment.
PREFERRED EXPERIENCE
J.D. Or other advanced degree.
Experience within a global bank, broker-dealer, swap dealer, regulatory agency, or other complex financial institution.