Regulatory Affairs Counsel

Profile

Regulatory Affairs Counsel
Duties: Serve as the face of Investment Bank to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency. Coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities regulators, partnering with various internal departments to gather required data, draft responses, negotiate resolutions and drive regulator-initiated remediation. Manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel, senior management and other groups throughout the firm. Build and maintain exemplary relationships with the Firm’s regulators. Identify, organize and coordinate document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner. Negotiate formal disciplinary actions as needed. Represent firm personnel in “on-the-record” interviews conducted by regulators. Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation. Create and distribute internal reports relating to pending regulatory matters.

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