ING Hubs Poland · 1 week ago
Financial Markets, Regulatory & Compliance Director
New York
Full-time
Hybrid
Senior Level, Lead/Staff
$210K/yr - $240K/yr
10+ years expING Financial Services LLC is seeking a highly skilled and experienced Director to join their team as Head of Financial Markets Regulatory CoE. The role involves leading the Regulatory and Non-Financial Risk Management function, ensuring compliance with US FM regulatory changes, and providing regulatory support and insights to the Financial Markets business.
AppsInformation TechnologyPaaSSoftware
Responsibilities
You act as a partner to the Financial Markets business by providing regulatory support, regulatory insights and advice focused on the US
Communicate new regulatory requirements simply and efficiently to affected business and relevant functions and stakeholders to ensure compliance
You serve as the subject matter expert for all relevant US regulatory topics, staying abreast of changes in regulations and industry best practices
Evaluate new products and activities to ensure regulatory issues are identified and remediated
Drive the US implementation of Front Office control & conduct requirements within FM US
Maintain policies and procedures to ensure compliance with applicable regulatory requirements (i.e., FED, FINRA, SEC, NFA, and CFTC requirements)
Liaise with regulatory authorities and relevant industry bodies to represent the organization's interests and address regulatory inquiries and examinations
Qualification
Required
Master's or bachelor's degree in finance, business administration, or a related field
10+ years of experience in Front-Office Financial Markets and Regulatory Affairs/Advice and/or Compliance
Series 7 and 24
In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer and FED rules applicable to banks
In-depth knowledge of relevant regulations and regulatory frameworks, such as Dodd-Frank, MiFID II, MiFIR and Basel III/IV
Knowledge of Capital Markets products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and operational needs
Proven track record of developing and implementing regulatory strategies and frameworks
Excellent communication and interpersonal skills, with the ability to effectively interact with stakeholders at all levels of the organization
Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support
You are pro-active, self-motivated, and driven. You work independently and take accountability
Preferred
Advanced degree (e.g., MBA, JD)
Knowledge and experience in non-financial risk management is a plus
Benefits
Comprehensive health benefits
Generous 401k savings plan
Competitive PTO
Adoption, surrogacy, and fertility services
Student debt assistance
Subsidies for expenses associated with commuting and fitness
Company
ING Hubs Poland
We’re one of ING's global competence centres.
1001-5000 employees
Funding
Current Stage
Late StageCompany data provided by crunchbase