Hybrid - New York, New York or Orlando FL
$120,000 to $170,000
Regulatory Affairs Compliance Officer
about 1 month ago
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.
- 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 email@example.com