A hybrid-based, large financial services organization based in NYC has just opened up a position on a growing team seeking to hire a Regulatory Affairs Compliance Manager. The firm is looking to further develop its Finance team with an experienced Compliance professional.
This candidate should have proficient skills in understanding and handling regulatory examinations and other engagements administered by regulatory entities such as SEC, FINRA, OCC, and State Securities Regulators. The ideal candidate will be the liaison between regulators and Firm Management/ Business Areas and possess five or more years at a broker-dealer or regulator performing regulatory affairs functions.
-5+ years of experience
-Experience working for a regulator desirable
-Series 7 and 24 licenses
-Extensive experience involved with regulatory examinations/ information requests and collaborating with regulators
-BA/BS or a similar degree required; MBA/JD preferred