Senior Regulatory Specialist-LATAM - StoneX Group

Sr. Regulatory Specialist, LATAM

US-IL- Chicago

Job Identification: 2024-11309

Overview:

The Sr. Regulatory Specialist, LATAM will prepare and submit regulatory compliance documents with regulatory authorities, and advise on regulatory affairs that stem from the U.S. Company’s activities in the Latin American (LATAM) region. Act as a key point of contact in the U.S. on LATAM related-regulatory and compliance inquiries. Develop regional regulatory strategies for the U.S. Company, and assist with the preparation of regulatory submissions for new financial and/or trading activities, new product rollouts and enhancements across the assigned region, and/or registrations as required under law to operate lawfully in the LATAM region.

Responsibilities:

• Responsible for corporate governance issues for U.S.-owned entities in the region and create consistency on strategic initiatives. Represent the regional regulatory function on cross-functional teams and serve as a resource to team members to leverage expansion of clients in the region.
• Provide regulatory support to the Company’s Deputy General Counsel in the U.S. and to the Legal and Compliance Officer in the region.
• Serve as subject matter expert for communication with regulatory affairs activities and provide knowledge of relevant statutory and regulatory requirements for the region.
• Provide technical insight into the requirements of regulatory submissions as well as international strategy and function.
• Gather documentation for new submissions and ensure high attention to detail when dealing with regional country requirements.
• Develop and implement regulatory strategy and submission plans to support clinical trials and marketing applications including regulatory authority meetings and response to agency questions for the region.
• Prepare supportive documentation for regulatory deliverables, including, regulatory landscapes or research for the regulatory strategy and/or target product label.
• Review contracts and related legal documents. Ensure compliance with Data Governance Policy and Standards across all businesses, functions, and geographies in the assigned region.
• Work closely with the business, as well as Operational Risk Management (ORM), Compliance, Internal Audit, Legal, Operations and other cross functional partners to assess and strengthen the control environment.
• Maintain and organize regulatory records as appropriate to demonstrate compliance with applicable regulations in the region.

Qualifications:

• Doctor of Jurisprudence or Master of Laws and three (3) years of experience as Regulatory Specialist and/or Compliance Analyst
• The three (3) years of experience as Regulatory Specialist and/or Compliance Analyst must have included the preparation and submission of regulatory compliance documents for a financial services institution with a focus on LATAM regulatory strategy, compliance, audit, and risk control framework.
• Up to 10% domestic and international travel required.