SVP, Regulatory Oversight - Funds
Our client, a global financial services company is currently seeking a SVP, Regulatory Oversight Management. The successful candidate will manage first line of defense regulatory oversight management efforts as they relate to moderately complex regulatory and policy requirements.
• Analyse existing and proposed legislation, regulatory announcements, and industry practices for first line of defense compliance requirements.
• Help businesses develop and implement procedures to meet compliance requirements.
• Validate controls or project plans to ensure compliance with laws, rules and regulations and manage risk.
• Assist business unit managers in response to reports issued by regulatory agencies or audit.
• Provide guidance and training to entry-level employees.
• Provide technical advice/guidance to less experienced team members.
• Contribute to the achievement of team objectives.
• Support multiple complex projects.
• Minimum 7-10 years of total work experience preferred.
• Bachelor’s degree or the equivalent combination of education and experience is required.
• Advanced/graduate degree.
• Knowledge of Financial Services rules and regulations.
• Strong problem solving, analytical ability.
• Ability to handle stressful situations with internal clients and regulators.
• Ability to effectively deal with senior management.
• Good oral and written communication skills.
Interested candidates should contact Anne Keys, Managing Partner, The Panel at the enclosed address.