Vice President, Regulatory Compliance - Derivatives & Trading Oversight

A growing financial services organization is seeking an experienced compliance professional to lead regulatory oversight for its derivatives and trading-related activities. This individual will play a key role in maintaining and enhancing compliance frameworks, advising business stakeholders, and supporting regulatory obligations across multiple regulated entities and jurisdictions. This position offers significant interaction with Trading, Risk, Legal, Operations, and Executive Leadership teams while helping ensure adherence to evolving regulatory requirements. Responsibilities Oversee and enhance compliance programs supporting derivatives, trading, and investment-related activities. Provide regulatory guidance to trading, sales, and business teams regarding applicable rules, policies, and supervisory requirements. Assess new products, services, and strategic initiatives to identify compliance risks and required controls. Develop, maintain, and deliver compliance policies, procedures, and employee training programs. Conduct monitoring, testing, and electronic communications reviews to support regulatory compliance objectives. Manage relationships with regulatory agencies and coordinate responses to examinations, audits, inquiries, and information requests. Prepare and support required regulatory reporting, certifications, and compliance assessments. Participate in governance committees and compliance oversight activities. Enhance supervisory frameworks designed to identify and mitigate conflicts of interest and business conduct risks. Collaborate with Legal, Risk, Finance, Operations, and Technology teams to ensure effective implementation of regulatory requirements. Drive process improvements through technology, automation, and data-driven compliance solutions. Qualifications 5+ years of compliance, legal, regulatory, or risk management experience within capital markets, investment banking, trading, or financial services. Strong understanding of derivatives, trading products, and related regulatory obligations. Experience designing, implementing, or managing regulatory compliance programs supporting trading businesses. Demonstrated ability to interpret regulations and provide practical guidance to front-office and business stakeholders. Strong analytical, communication, and relationship-management skills. Experience interacting with regulators and supporting examinations or audits. JD, MBA, or other advanced degree preferred. Preferred Experience Exposure to alternative asset classes, emerging financial products, or rapidly evolving regulatory environments. Familiarity with compliance surveillance tools, monitoring programs, and technology-enabled risk management solutions. #J-18808-Ljbffr Madison-Davis, LLC