We’ve partnered with a bank looking to hire a Regulatory Affairs Compliance Officer for their growing compliance team. The individual stepping into this role would serve as a liaison between regulators such as SEC, FINRA, OCC, and DTCC and the firm.

What you’ll be doing:

• Coordinate regulatory exams for the institution, retail broker dealer, and registered investment adviser.
• Obtain information/documentation to respond to regulatory requests to facilitate examinations.
• Review and interpret regulatory requests, providing timely responses to the regulators.
• Relay regulatory feedback in the form of management reports to provide senior management with pertinent areas of concern.
• Serve in an advisory capacity to management and staff regarding practices that might impact the firm’s relationship with regulators.
• Collaborate with business partners and key stakeholders throughout the firm.
• Review marketing and email communications.

Minimum Qualifications:

• 5+ years of compliance experience
• MBA, JD and/or experience working with a regulator is preferred
• Must hold FINRA Series 7 & 24 licenses.

For more information contact Nicole Izurieta at n.izurieta@hamlynwilliams.com