Manager & Sr Manager (Law) - Regional Security (8-14 yrs)
Client :- A reputed US Financial services company in Bangalore
Job Title:- Senior Manager-Regional Security officer (Law) [US Federal laws, SEC Regulations, TA regulations]
Experience – 8 to 14 years
Qualification:- Any graduate
Roles and Responsibilities: The selected individual must meet the following criteria’s:
- Leads implementation efforts of new/ existing regulatory policies and takes into consideration business unit level and legal entity level.
- Approves new business unit procedures and implementation of procedures, system enhancements and controls.
- Demonstrates comprehensive command of compliance policies and practices.
- Advises business units how to implement compliance practices to support short and long-term business initiatives.
- Identifies trends in the business and anticipates future training needs;
- Advises trainers and provides compliance awareness at the appropriate levels across multiple business units/partners when highly complex regulatory issues will impact business activities.
- Writes and finalizes regulatory filings, reports and responses to regulators on complex inquiries.
- Prioritizes areas where internal and business unit reporting is needed.
- Drafts and reviews board reports. Supervises preparation of reports by team.
- Creates and maintains a governance structure to report compliance matters to boards, oversight committees and senior management.
- Identifies resolves and escalates issues related to monitoring, testing and reviewing that have enterprise- wide impact and require action.
- Initiates and develops process improvements.
- Leads resolution of complex remediation of audit and regulatory issues brings them to closure and communicates outcomes to senior business leaders.
- Recommends a course of action.
- Approves and releases the response to complex inquiries.
- Establishes and maintains collaborative working relationships internally with business unit partners, technology, internal service providers (legal, procurement) and industry peers to resolve complex issues
Must Haves -
- US Federal Securities laws experience
- Experience with SEC regulations
- Experience with TA regulations (17 Ad rules)
Please send your resume to email@example.com