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Job

Regulatory Affairs Compliance Officer

  • Location

    Hybrid - New York, New York or Orlando FL

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $120,000 to $170,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Regulatory Affairs Compliance Officer

  • Published:

    about 1 month ago

  • Expiry date:

    2022-06-16

  • Startdate:

    ASAP

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