Manager, US Reg Advisory

26th June 2017
Job Type


BSM Group are representing a client seeking a Manager, US Reg Advisory.

  • Compliance coverage at the earliest opportunity to enable the business to ascertain the most appropriate structures, controls and procedures from a regulatory and regulator expectation perspective
  • This is one of the Global Markets business’ top ongoing risks to manage
    • Customers / Stakeholders
    • Global Markets business
    • Regulatory change implementation team
    • Other parts of the firm’s Compliance, Legal, Regulatory Affairs and Policy
    • External trade bodies
  • Must have appropriate interpersonal skills to be able to integrate into an existing close team and work with other employees across the organization globally
  • Must have a strong personality and the confidence to be able to cope with the demands of facing the business in challenging situations and a complex global structure
  • Coverage/support will reduce compliance, business and operational risk for the business area and the risk of unintended consequences stemming from US extra territorial legislation and rules


  • Relevant product knowledge including knowledge of CFTC Act, Dodd Frank Title VII
  • Experience working in relevant environment/s, i.e. Sales & Trading compliance experience; SEC security-based swap requirements and the ‘Volcker Rule’
  • A track record of constantly looking for ways to do things better and an excellent understanding of the mechanism necessary to successfully implement change
  • Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
  • Dealt effectively with highly complex commercial information and business challenges to create strategic business plans which effectively deliver results
  • Promoted and led best practice in risk and compliance management in a similar organisation

For any more information please contact or call 0203 906 2695.

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