Job Description

The Head of Regulatory Relations and Compliance will work closely with the business to ensure compliance with various bank regulatory matters and compliance laws.

• Manage the Regulatory Inquiries Team responsible for responding to regulatory inquiries.
• Oversee a team of managers that supervise analysts responsible for: reviewing regulatory requests from federal and state governmental agencies (e.g., CFTC, SEC, DOJ, and state securities regulators) and self-regulatory organizations (e.g., FINRA, CME, NFA); Conducting investigations to determine whether suspicious activity reports ("SARs") should be filed; Escalating other red flags identified to senior management to determine appropriate actions.
• Monitor and manage daily processes, controls, and metrics to ensure that the Regulatory Inquiries Team meets deadlines and operates efficiently.
• Interface with regulators to ensure responsiveness to regulatory inquiries.
• Engage with the legal department and senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
• Evaluate risk associated with AML and Financial Crime Risk processes and recommend enhancements, where appropriate.
• Support and participate in internal, external, and regulatory audits and examinations when needed.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual\'s status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Management position with 3 days in office in Chicago|Role will advise on regulatory inquiries and compliance matters

• Bachelor\'s Degree, with JD Degree highly preferred with excellent academic credentials
• Certified Anti-Money Laundering Specialist (CAMS) or similar certification, such as the Series 7 or 24.
• Experience working as an attorney for a US regulator, law enforcement agency, or law firm.
• 5-10 years of experience in investment management/AML compliance/market regulation with a self-regulatory organization, law firm, large broker or other financial institution with an international client base.
• Two-plus years of management experience.
• Prior experience with a federal or state securities/trading products regulator or a self-regulatory organization
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• A high degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
• Outstanding leadership, communication, analytical, and project management skills.

Fintech client.

• Competitive base salary
• Bonus of cash and equity
• 401k
• EAP
• Other benefits

Michael Page