Consultant Aleea Cherry
Date posted September 23, 20187 Times Square New York NY 10036 Robert Walters United States of America
A Senior Regulatory Counsel position has become available at a major international corporate and investment banking, asset management, insurance and financial services firm. A global player, this international banking group has its own client base of companies, financial institutions and institutional investors as well as the client base of individuals, professionals and small and medium-size businesses of the group companies banking networks.
The Bank is looking for an experienced attorney to join the New York Legal Department as Senior Regulatory Counsel who will focus on regulatory matters. The Bank is currently interacting with many regulators: the Fed, NYS DFS, CFTC, SEC, FINRA and other self-regulatory organizations. The candidate that takes this position will have an opportunity to work on a wide range of legal regulatory matters including but not limited to security based swap dealer registration, Volcker, BSA AML and CFTC swap dealer issues, day-to-day bank regulatory issues and broker-dealer issues. The Legal Department is small and the candidate for this position must have the flexibility to address a diverse array of regulatory matters the ability and judgment to operate independently, the capability to manage engagement with multiple large projects and small regulatory issues and the appropriate skillset to effectively interact with senior management, front office, and international stakeholders.
About the Regulatory Counsel position:
The Regulatory Counsel will interact with many regulators including, but not limited to, FINRA & the SEC as well as other self-regulatory organizations. On a day-to-day basis this position will focus on bank regulatory and broker-dealer issues, whilst working on a wide range of legal regulatory matters such as Volcker Rule application, CFTC swap dealer issues and security based swap dealer registration, to mention but a few.
Duties & Responsibilities:
The Regulatory Counsel will have responsibility within the New York Legal Department to provide advise on and coverage for certain regulatory matters:
- Providing legal advise to Front & Back Office and the Risk Department;
- Expertise and working knowledge in respect of the full spectrum of bank regulatory matters applicable to foreign banks operating in the United States including implementation and maintenance of matters related to the Enhanced Prudential Standards;
- Legal Analysis for new products including contributions to the New Product Committee (including cross-border analysis);
- Coordinating with legal and compliance colleagues both locally and internationally; and
- Managing external counsel where necessary.
Expertise and working knowledge in one or more of the following:
- Volcker Rule;
- Title VII (CFTC Swap Dealer and SEC SBSD);
- Bank Holding Company Act;
- Resolution Planning;
- Securities law and broker-dealer matters; and
- Enhanced Prudential Standards.
- Qualified candidates must have a J.D. degree;
- 4+ years of experience at a large financial institution and/or law firm; and
- Must currently be admitted to the bar of the State of New York as an active member and in good standing OR eligible for registration as in-house counsel under the Rule of the Court of Appeals of the State of New York.
If you are self-motivated with the ability to work independently, with strong analytical and organizational skills and the ability to manage multiple priorities, apply today by emailing your resume to firstname.lastname@example.org.