US Regulation Compliance Advisory

A leading global financial institution is seeking a Vice President for its Compliance Advisory function, focusing on US regulatory compliance within the EMEA region. Responsibilities: Develop and enhance the US regulatory compliance framework and workflow for the EMEA region. Oversee day-to-day management of US regulatory tasks, ensuring timely and accurate reporting to relevant authorities. Advise and support business lines on US regulatory matters, including risk identification, escalation, and mitigation. Collaborate with US and APAC compliance teams to ensure consistent global regulatory standards. Deliver training to front office staff on US regulatory and conduct requirements. Prepare and present annual compliance reports for CFTC/NFA and SEC obligations. Requirements: Strong knowledge of US regulatory compliance, particularly CFTC, NFA, and SEC requirements. Expertise in market compliance for investment banking products, including loans, bonds, structured finance, sales, and trading. In-depth understanding of MAR, MiFID II, and risk and control frameworks.

Location: London,, GB

Posted Date: 9/7/2025