Regulatory Affairs Specialist

Position 

This hire will be a member of the Firm’s Regulatory group which is responsible for exam oversight, branch inspections, regulatory change tracking, governance related tasks and additional ad-hoc tasks.  The Firm’s Regulatory Group is housed within its Legal Department. While attorneys are encouraged to apply, this position does not require a law license.

Primary Responsibilities

• Administer regulatory change program 
  • review of vendor tools/applications available for regulatory change monitoring
  • oversee selection/implementation/administration of vendor tool/application if warranted
  • summarize and distribute new/amended rule proposals and rules to internal constituents
  • oversee initial impact assessment (e.g., rules applicability vs firm’s lines of business)
  • ensure designation of internal owner(s) of new/amended rule implementation or creation of a Project Team if warranted
  • track status of regulatory change internal readiness
  • participate in industry groups/calls on regulatory change 
• lead or contribute to the management of regulatory exams and delivery of requested items; respond to exam findings and reports
• conduct branch inspections; track results, write up and distribute inspection reports
• assist with other regulatory deliverables 
• assist with governance related tasks 
• participate in or lead ad hoc regulatory projects 

 Required Background

• Bachelor’s degree 
• 10 years of financial services experience

 Desired Experience/Skills 

• ability to build, develop and maintain solid working relationships both externally (e.g. regulators) and internally
• ability to deliver high quality work product under time sensitive deadlines 
• equities &/or fixed income experience in either a front office or control position role
• regulatory experience (SEC, FINRA, CBOE, NFA, CFTC, etc.)
• project Management skills 
• proficiency in Microsoft Excel, Word and PowerPoint 

 Primary Location Full Time Salary Range of $150,000 - $165,000