JOB TITLE - Regulatory Relations Associate Director
HIRING FIRM - An American post-trade financial services company providing clearing and settlement services to the financial markets
LOCATION - Jersey City OR Boston
REPONSIBLITIES:
- Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the Clearing Firm. Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.
- Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators.
- Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.
- Produce summaries, reports, and other written work product for internal dissemination.
- Produce briefing documents and presentations for meetings, conferences and other engagements.
- Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary.
QUALIFICATIONS:
- Bachelor's degree required. JDs should also apply.
- Minimum of 5-7 years of related experience inclusive of graduate/law school, as applicable.
- Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
- Paralegal experience is a plus.
OVERVIEW:
- This position reports to the Executive Director and works with multiple Executive Directors.
- Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the clearing firm.
- Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.
MUST HAVE EXPERIENCE:
- Dealing with regulators
- Job stability is a must - will not consider job hoppers or consultants.
- Someone that began their career as a paralegal or in legal, collaborating closely with attorneys, before transitioning into a role within the corporate sector of the financial industry.
- Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
- Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.
