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Regulatory Compliance Director – Latin America [Chicago]
Our client, a leading Financial Services Firm is seeking to add a Regulatory Compliance Director to their Chicago office. This role will involve maintaining detailed knowledge of regulations and related company policies; assisting employees with policy interpretation; coordinating regulatory filings; assisting with regulatory examinations; and executing compliance monitoring activities and initiatives. The role also requires close cooperation with the Legal Department, the Operations Risk Management Group and Latin American office heads.
Reporting to the Head of Regulatory Compliance for the Americas based in New York, a key aspect of this global role will be to develop compliance expertise as a subject matter expert, maintaining a detailed understanding of credit rating agency regulations and providing regulatory compliance guidance. This includes engaging with business partners regarding policy interpretation, facilitating interactions with regulators, managing responses to regulatory requests for information, and managing regulatory filings. Related to this, the position will be responsible for assisting with maintaining a database to capture evolving regulations and for monitoring compliance with company policies, including assisting with email reviews and other employee surveillance, performing internal reviews, liaising with staff regarding procedure development resulting from updates to credit rating agency regulations, and supporting employee training efforts.
Requirements:
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A minimum of 5 years of relevant work experience at a credit rating agency, broker/dealer, or regulatory authority, plus another 5 years of other work experience.
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Broker-dealer examination experience is a plus.
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Strong organizational and time management skills with the ability to prioritize multiple projects in a fast moving, evolving environment.
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Client-service focus with proven ability to develop relationships with business partners.
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High level of accuracy and attention to detail.
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High degree of professionalism and integrity with demonstrated ability to handle confidential issues with maturity, tact, and sensitivity.
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Strong verbal and written communication skills.
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Strong computer skills, including Excel for analysis.
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Strong Spanish and/or Portuguese language skills a plus.
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Risk-based approach to problem solving with demonstrated business maturity and good judgment.
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Law degree preferred.
For immediate consideration, please forward your resume to Kyle Marszalek at **********@peakaudit.com.
