Financial Markets, Regulatory & Compliance Director
About the position
We are seeking a highly skilled and experienced Director to join our team as Head of Financial Markets (“FM”) Regulatory CoE. In this role you will lead the Regulatory and Non-Financial Risk Management function as an integral part of the US FM Front Office in close cooperation with the CoE team based in Amsterdam and London. We are seeking a senior regulatory change and NFR lead to ensure all US FM regulatory changes are scoped, analyzed, implemented, and delivered. The role requires a hands-on approach to Non-Financial Risk (NFR) management to lead the overall FM control environment within the US. This will involve working proactively with the global non-financial risk team and with dedicated support from the US based local experts. The ideal candidate will have extensive expertise in Financial Markets, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance, and a deep understanding of front office sales and trading products and processes.
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.
Requirements
• 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.
Nice-to-haves
• Advanced degree (e.g., MBA, JD) preferred.
• Knowledge and experience in non-financial risk management is a plus.
Benefits
• In addition to comprehensive health benefits, a generous 401k savings plan, and competitive PTO, ING provides a broad array of benefits including adoption, surrogacy, and fertility services; student debt assistance; and subsidies for expenses associated with commuting and fitness.
Apply Now
Apply Now
We are seeking a highly skilled and experienced Director to join our team as Head of Financial Markets (“FM”) Regulatory CoE. In this role you will lead the Regulatory and Non-Financial Risk Management function as an integral part of the US FM Front Office in close cooperation with the CoE team based in Amsterdam and London. We are seeking a senior regulatory change and NFR lead to ensure all US FM regulatory changes are scoped, analyzed, implemented, and delivered. The role requires a hands-on approach to Non-Financial Risk (NFR) management to lead the overall FM control environment within the US. This will involve working proactively with the global non-financial risk team and with dedicated support from the US based local experts. The ideal candidate will have extensive expertise in Financial Markets, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance, and a deep understanding of front office sales and trading products and processes.
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.
Requirements
• 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.
Nice-to-haves
• Advanced degree (e.g., MBA, JD) preferred.
• Knowledge and experience in non-financial risk management is a plus.
Benefits
• In addition to comprehensive health benefits, a generous 401k savings plan, and competitive PTO, ING provides a broad array of benefits including adoption, surrogacy, and fertility services; student debt assistance; and subsidies for expenses associated with commuting and fitness.
Apply Now
Apply Now