Regulatory Inquiries & Exams Compliance Officer
Salary $150000 - $180000 per year
Location New York
Consultant Lucky Nguyen
Date posted April 19, 2017
A well known financial services organization is looking for a strong compliance officer to join their regulatory exams and inquiries team. This position is located in Jersey City, NJ and would assist in managing a team. Candidates that hold a J.D. are highly preferred but not required.
About the Regulatory Inquiries & Examinations Compliance Officer position:
This key compliance officer is responsible for handling the management and oversight of regulatory examinations for the organization's regulated entities. As part of the Regulatory Inquiries Group, you may also act as a liaison and central point of contact for regulators and regulatory requests outside of the examination context, as well as contribute to regulatory-related projects and reporting.
- Handle, and manage staff that handles, regulatory inspections, reviews, and examinations
- Ensure that necessary and appropriate follow-ups and responses for the regulators are timely and comprehensive;
- Interface with regulatory supervisors, including conducting meetings with regulatory staff and employees during examinations, as necessary;
- Work with VP and examined area in drafting and editing post-exam letters; Coordinate submission of post-exam response letters to regulators;
- Supervise examination managers;
- Provide support outside the examination context by responding to regulatory requests and contributing to regulatory-related projects and reporting.
The ideal candidate for this opportunity will have 6+ years of experience dealing with regulators, regulatory examinations, and regulatory inquiries. Although a legal background is highly preferred it is not required. This Regulatory Compliance officer will play an integral part in working with regulators and meeting deadlines set by specific inquiries.
This financial services firm is a prominent organization that deals with trading and many financial products. This firm is growing at a dramatic pace and new headcount is being added to both the legal and compliance teams.
If you are a driven compliance officer that is able to succeed in a dynamic environment, this position is for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900