Vice President, Regulatory Oversight Management

Vice President, Regulatory Oversight Management

About the Company

Internationally recognized investment services firm

Industry
Financial Services

Type
Public Company

Founded
1784

Employees
10,001+

Categories

• Finance
• Financial Services
• Trading
• Banking
• B2B
• Consulting & Professional Services
• Enterprise
• Brokerage
• Economics
• Investment Banking
• Investment Services
• Personal Finance
• Wealth
• World Domination
• Asset Management

Specialties

• financial services
• investment management
• and investment services
• investment services
• and wealth management
• wealth management
• and banking
• banking
• corporate trust
• asset servicing
• treasury services
• wealth technology
• central clearing
• collateral management
• depositary receipts
• and credit services
• global markets
• clearance
• credit services
• and corporate trust
• and global trade
• global trade
• and payments

Business Classifications

• B2B
• Enterprise

About the Role

The Company is seeking a Vice President for Regulatory Oversight Management to join their Global Holdings Reporting team. The successful candidate will be responsible for supporting the identification and preparation of substantial shareholder disclosures and various regulatory reports on a global basis. This includes data analysis, aggregation, and quality control. The role also involves coordinating with regulatory SMEs to implement and operationalize requirements driven by regulatory and legislative updates, as well as preparing and overseeing securities-related risk management reports for senior management. The ideal candidate should have a strong background in financial services, with a focus on securities products such as equities, fixed income, mutual funds, and ETFs, and be adept at driving continuous process improvements, particularly through the use of AI and technology. Applicants for this role at the company should have a Bachelor's degree or an equivalent combination of education and experience, with an advanced degree being preferred. A minimum of 5-8 years of work experience is also preferred. Proficiency in MS Excel is required, and programming knowledge is a plus. The role demands strong collaborative skills, communication, problem-solving, and basic project management abilities. While not mandatory, prior operational and regulatory experience in the financial services industry is advantageous. The candidate should be growth-minded, energized by high-stakes operational excellence, and capable of leading and supporting projects to ensure their timely and accurate completion.

Functions

• Operations
• Data Management/Analytics