Director of Regulatory Affairs

Job Description:

Company in Financial Services is looking to hire a Director of Regulatory Affairs with a focus in Fixed Income & Equities

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• Provide Compliance Advisory services to US Broker Dealer
• Coordinate various regulatory exams and inquiries for the institutional and retail broker dealer and registered investment adviser affiliates
• Assist and facilitate complex examinations over extended periods of time which require exceptional organization skills and ability to examine complex data.
• Collaborate with relevant businesses and functions to obtain information/documentation responsive to regulatory requests.
• Accurately review and interpret regulatory requests and develop responses.
• Synthesize regulatory feedback and key findings in key management reports provided to senior management, work with key stakeholders on proper resolution of issues.
• Advise management and staff on responses to regulators; escalate to manager regarding matters that can negatively impact the relationship with regulators.
• Work closely with management to develop and distribute consolidated reporting of regulatory matters and examinations to key stakeholders.
• Communicate with business partners in Equity/Fixed Income Trading, Operations, Clearing, Finance, Risk and Legal throughout regulatory inquiry and exam process to manage expectations and outcomes.
• Monitor regulatory developments that impact entities.
• Involvement in other compliance projects and initiatives that support business enhancements and growth.