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Regulatory Counsel (americas) - Risk Management Group
Refer job# UVME135778
Regulatory Counsel (Americas) - Risk Management Group The candidate will provide legal, advice, counsel and support to management and all impacted businesses in regard to regulatory compliance with financial product regulations with emphasis on CFTC, SEC, and Canadian over-the-counter derivative regulations, including their cross-border impact. Will report to the ORC Managing Regulatory Counsel. Monitor and track relevant new, amended and proposed financial product/derivative regulations, in coordination with Regulatory Risk and Group Legal teams, and understand and advise on their impact to the firm. Focus will be CFTC, SEC and Canadian over-the-counter derivative regulations, but also required to monitor additional derivative regulations globally and assist with cross-border assessment. Stay abreast of regulator rule interpretations and related enforcement actions to advise the firm on best practices for compliance with relevant regulations and assess areas of risk. Collaborate with internal stakeholders to implement effective, efficient and commercially viable solutions for implementation and ongoing compliance with derivative/financial product regulations. Participate in industry-wide and internal calls/meetings to monitor regulatory activity and industry practices and compliance strategies. Assist Chief Compliance Officers in support of the production of the swap dealer and futures commission merchant Annual Reports to the CFTC. Advise the swap dealer and FCM risk management committees on relevant regulations. Prepare content for updates to senior management and other internal stakeholders in regard to swap dealer activities and regular compliance communications to relevant staff. Responsible for maintaining and keeping up-to-date certain compliance policies owned by ORC, including the swap dealer manuals. Responsible for advising on and drafting, as applicable, new policies designed to ensure compliance with new or changed regulations. Assist training team and other internal stakeholders as needed with development of training programs. Represent the firm in relation to internal investigations and regulator examinations, inquiries and other matters. Should have J.D. or equivalent degree. Should preferably have 10+ years of experience working in a derivative environment. Equivalent law firm experience handling derivative regulatory and transactional matters will be considered. Experience working with industry groups and interaction with regulators is needed.

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