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Regulatory Counsel - Risk Management Group
Refer job# ESIN135782
Regulatory Counsel - 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 be monitoring and tracking of 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. Staying 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. Collaborating with internal stakeholders to implement effective, efficient and commercially viable solutions for implementation and ongoing compliance with derivative/financial product regulations. Participating in industry-wide and internal calls/meetings to monitor regulatory activity and industry practices and compliance strategies. Assisting Chief Compliance Officers in support of the production of the swap dealer and futures commission merchant Annual Reports to the CFTC. Advising the swap dealer and FCM risk management committees on relevant regulations. Preparing 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. Assisting 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.

The candidate should have Doctor of Jurisprudence (J.D.) or equivalent degree. At least 10+ years of experience working in a derivative environment is highly preferred; equivalent law firm experience handling derivative regulatory and transactional matters. Must have experience working with industry groups and interaction with regulators. Must have excellent interpersonal, verbal, written and presentation skills is required.

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