Job Description

Seeking a driven, self-directed individual to join the Global Markets COO organization to drive a portfolio of strategic initiatives providing leadership on financial markets regulatory change and areas of focus, and on the business’ interactions with securities/commodities regulators. 

The ideal candidate for this role must have the capacity to navigate on the following dimensions:

• Expertise: Strategic advisor to Global Markets senior business leadership on regulatory change, enforcement matters and interactions with regulators
• Advocacy: Advocate for Global Markets, represent the business interests internally and externally in regulatory rule making processes, focusing on enriching the business’ relationship with regulators, ensuring they understand the operating model, and to help anticipate future regulatory focus areas
• Strategy: Strategic partner to the firm’s Regulatory Relations team, Regulatory Investigations Group and Legal, Risk and Compliance partners to ensure the business’ regulatory strategy and engagement is properly coordinated across the firm

Key Responsibilities:

• Define Global Markets strategic approach to regulatory change, exams, enforcement issues and engagement to influence potential outcomes, while reflecting the firm’s commitment to compliance excellence
• Proactively identify new regulations that will impact GM, in collaboration with partner organizations, and support GM leadership in designing implementation strategies
• Identify opportunities to provide feedback and input to regulators during rule making comment periods, where appropriate

• Draft preparatory materials, including briefings and talking points, for Global Market senior business leadership on regulatory matters
• Collaborate with business leaders to provide guidance on regulatory matters and continually enhance the framework to identify, assess, control, and monitor regulatory communication
• Lead and guide Global Markets team members through exam and interaction process by providing advisory service for engagement
• Establishing and developing effective relationships with business and functional leaders to obtain information / documentation to respond to regulatory requests proactively and on time with quality

Requirements/Qualifications

• Minimum 10 years of relevant experience with securities / commodities / bank regulators
• Law degree preferred
• Strong knowledge of the Global Markets business and emerging regulation(s)
• Deep knowledge of the regulatory engagement process and financial markets
• Experienced leader 
• Strong interpersonal skills and ability to work collaboratively with people at all levels of the organization
• Ability to build partnerships; independently resolve conflict with awareness of when to escalate.
• Exceptional written and verbal communication
• Excellent project management and organizational skills with capability to handle multiple projects at one time

Shift:

Hours Per Week: 

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