Cannabis Global Equities Director Governance Regulatory Relations Jobs

Job Description:

GLOBAL EQUITIES - GOVERNANCE & REGULATORY RELATIONS DIRECTOR

Governance

• Assist in enhancing and maintaining governance structure for Global Equities (“GE”) to ensure that GE’s supervisory, regulatory, operational and reputational risks are properly identified, monitored and mitigated to allow for responsible business growth.
• Responsible for driving GE’s response to Audits and Self/Risk identified audit issues. Ensure governance around the timely identification, completion and validation of SIAI and RIAI action steps.
• Ensure consistency and coordination with broader Global Markets (“GM”) governance structures – for example working with Electronic Trading.
• Recommend and execute enhancements to existing governance structures and/or create new governance routines to meet new and evolving risks. Ensure that GE’s governance routines (and those in which GE participates e.g. BANA Governance Forum) are not duplicative; fulfill regulatory and supervisory requirements, and serve to escalate issues appropriately.
• Assist with preparing Agendas and materials for GE Committees and Forums.
• Participate in governance routines/working groups established to meet emerging risks (e.g., the new Crypto Currency policy or trading Cannabis-related companies).
• Participate in strategically important enterprise initiatives impacting GE to ensure that they adequately consider the nature of the business, including Operational Excellence programs.
• Assist with prioritizing and advocating for GE’s technology funding requests and partnering with Technology on delivery.

Regulatory & Legal

• Responsible for ensuring that all NFRR Reports owned by GE are compliant with the respective laws, rules and regulations on which they are based, and appropriately maintained in the Process Owner Portal. Compile the data dictionary (laying out the laws, rules and regulations of the report) and assist the NFRR report owner with validation of the report requirements and data points in the NFRR inventory. Responsible for reporting NFRR metrics. Engage with the NFRR Operations team and other business and control partners regarding tactical and strategic operational and technology changes required for accurate and timely NFRR regulatory reporting.

• Assist in preparing GE business for regulatory meetings, exams and inquiries.
• Assist GE business in working with GCOR and GFCC to comply with significant regulatory requirements impacting the enterprise (such as Sanctions and AML,) whilst also leveraging any business opportunities created/carved out in amendments/loop holes.

• Partner with the RIG Group and Regulatory Relations team to track and timely respond to routine regulatory inquiries.
• Assist with projects and initiatives to lower expenses in GE, including outside counsel fees

Requirements:

• Bachelor’s Degree
• 12 + years of experience in large Financial Services Firm
• Self starter w/ strong executive presence
• Conversant in Global Markets and Regulatory Implementation
• PMO Experience Required

Job Band:

H4

Shift:

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

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