3 months ago
A large Fintech client of ours is looking for a strong regulatory professional to take on a senior level financial institutions Compliance role, ideally based in New York, but potentially elsewere in the US.
The role will be responsible for overseeing compliance programs regulated by CFTC, DFS and SEC/FINRA. This role will also be responsible for managing Banking Partnerships. This role will include interfacing with regulators on a regular basis and will report in to the CCO, you will work with the Compliance and also Legal teams on a daily basis.
- Designing and implementing compliance programs for activities and products regulated by the CFTC, DFS, FINRA and the SEC, and leading the firm’s response and remediation efforts for exams conducted and findings issued by such agencies
- To lead the compliance group’s work in support of new license applications domestically, and collaborating with Head of International Compliance on new license applications globally (when needed)
- Representing the firm’s domestic and international gatherings of financial regulators
- Overseeing the Bank Partner Relationship team which will coordinate its efforts for inquiries and meetings with existing banking partner relationships and to cultivate new relationships
- To prepare relevant board materials for monthly Trust Co board meetings and quarterly parent company board meetings
- JD certified
- 5+ years’ worth of interface with Regulators, CFTC, DFS and SEC/FINRA
- To have an understanding of blockchain technology
- FINRA Licenses (ideally)
- Experience working at a regulatory agency or managing regulatory compliance programs and examinations for a regulated financial institution with global exposure
If this role interests you, please get in touch!