Americas Market Conduct Vice President
$120,000–$120,000 year
On-siteDallas, Texas, United States
EXPIREDDallas, Texas, United StatesOn-siteFull Time$120,000–$120,000 yearSenior LevelEnterprise
Full TimeSenior LevelEnterprise
Job Summary
Coordinate regulatory exams, risk surveys, and continuous monitoring activities for the Americas Market Conduct Regulatory Relations Group. Manage concurrent complex regulatory examinations, evaluate emerging risks, and advise senior management on appropriate response plans and remediation strategies. Lead regulatory meetings, prepare internal stakeholders for exams, and ensure timely, accurate responses to SEC, CFTC, and other supervisory bodies. Provide ad-hoc support on regional initiatives and maintain proactive relationships with regulatory counterparts and key constituents.
Required Qualifications
- Bachelor degree
- 7-10 years' experience with a regulatory organization such as the SEC, FINRA, CFTC, NFA, or in a similar position in the financial services industry or legal/compliance/regulatory background
- Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint)
- Strong written and oral communication, presentation, and interpersonal skill to effectively interact with and influence internal and external stakeholders
- Strong planning and organization skills
- Ability to multitask, be flexible, manage to a deadline, adapt to change of priorities
- Ability to work independently and effectively with both regulatory staff as well as senior firm personnel globally
- Sound judgment in identifying risks in order to proactively escalate with the relevant senior management
- Demonstrated ability to operate at a strategic level with capacity to engage with detail when necessary
- Must be a self-confident leader possessing a collaborative and participatory management style
- Professionalism, sensitivity, and discretion required
- In-Person interviews will be required for the role
- The position's work location will transition to 1445 Ross Ave, Dallas, TX 75202 at a future date
Desired Qualifications
- JD/MBA a plus
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.