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Laws, Rules, and Regulations Oversight Risk - AVP

United States, New York 110000.00 - 135000.00 USD / Year · Job Posted May 11, 2026
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Job Description

Join us as a Laws, Rules, and Regulations Oversight Risk - AVP. You will assist efforts to define and manage the approach to LRR Risk across the organization. In this role, you will provide expert oversight, offer data-led challenge, and ensure compliance with applicable laws and regulatory standards. You’ll work closely with stakeholders to enhance risk governance and deliver critical insights. This is a strategic position that will expand to cover additional areas as the team evolves.

Job Responsibility

  • Assist efforts to define and manage the approach to LRR Risk across the organization
  • Provide expert oversight, offer data-led challenge, and ensure compliance with applicable laws and regulatory standards
  • Work closely with stakeholders to enhance risk governance and deliver critical insights
  • Definition and maintenance of the framework for managing LRR Risk, including the LRR Risk Management Policy and Standard
  • Collaboration with teams across the organisation to facilitate a comprehensive approach to LRR Risk management
  • Provision of SME guidance on the end-to-end process for managing LRR Risk, including responding to colleague queries
  • Collaboration with stakeholders to assess the level of LRR Risk in the organisation and ensure appropriate steps are in place to identify and support the remediation of potential LRR non-adherence
  • Provision of oversight, checking and challenging on the implementation of LRR Risk Management Control Requirements and Controls, through reviews of relevant team processes, activities, reporting and systems
  • Review and investigation of LRR Risk related escalations, risk events and issues, providing corrective actions and preventative measures to avoid future occurrences
  • Operation of key Compliance processes to support the implementation of LRR Risk Management

Requirements

  • Experience in legal, risk, compliance, or regulatory oversight roles within financial services
  • Communication skills and ability to engage stakeholders and senior leadership
  • Expertise in evaluating, testing, and providing oversight of controls and processes that mitigate regulatory risk
  • Prior experience in control functions (including oversight of control functions) and navigating regulatory change
  • Ability to work independently and adapt in a fast-paced, evolving environment
  • Stakeholder management and excellent verbal and written communication skills

Nice to have

  • Prior experience in control functions (including oversight of control functions) and navigating regulatory change
  • Ability to work independently and adapt in a fast-paced, evolving environment
  • Stakeholder management and excellent verbal and written communication skills

What we offer

  • Inclusion and Opportunities
  • Flexible working arrangements
  • Wellness center with modern amenities including fitness centres
  • Health center providing primary and urgent care, wellness exams, health coaching, and vaccinations
  • Sophisticated dining options including a colleague restaurant and a private executive dining room
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