VP, Regulatory Affairs
VP, Regulatory Affairs - Global Investment Bank
Role Summary
A globally recognized, award‑winning investment bank is seeking an accomplished regulatory affairs leader to drive its U.S. broker‑dealer regulatory strategy. This is a high‑visibility role at the center of a fast‑moving capital markets platform, where you'll shape the firm's regulatory posture, lead complex interactions with U.S. regulators, and influence the governance of trading, investment banking, and research activities across the organization.
Reporting directly to the Chief Compliance Officer, this position is based in New York City with a hybrid in‑office schedule.
Key Responsibilities
Regulatory Strategy Leadership - Serve as the firm's senior representative in all regulatory engagements, including inquiries, exams, and thematic reviews.
High‑Stakes Inquiry Management - Lead the end‑to‑end process for responding to complex regulatory requests, ensuring accuracy, clarity, and strategic alignment.
Executive‑Level Collaboration - Partner with senior leaders across Legal, Operations, Technology, and front‑office businesses to craft thoughtful, well‑supported regulatory submissions.
Regulatory Advisory - Advise business heads and compliance partners on regulatory expectations, emerging risks, and industry trends.
Remediation & Controls Enhancement - Identify control gaps and drive remediation initiatives that strengthen the firm's regulatory infrastructure.
Exam Readiness & Execution - Oversee preparation for routine and targeted exams, ensuring the firm is consistently exam‑ready.
Annual Supervisory Reporting - Lead the development of annual supervisory control and compliance testing reports.
Qualifications
Deep Regulatory Experience - Minimum 10 years in compliance, legal, or regulatory roles within the securities industry, with direct experience engaging U.S. regulators.
Capital Markets Expertise - Strong understanding of rules governing trading, investment banking, and research.
Executive Communication Skills - Exceptional written and verbal communication abilities, including experience presenting to senior leadership.
Analytical & Organizational Strength - Ability to manage complex data, competing priorities, and time‑sensitive deliverables.
Trade Data Systems Knowledge - Experience retrieving and interpreting order and trade data.
Legal Background Preferred - JD or prior experience at a regulatory agency is a strong plus.
Compensation
Base salary: $225,000-$250,000
Bonus: Competitive annual incentive bonus
FAQs
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