Regulaotry Liason Compliance Officer
Salary $100000 - $125000 per year
Location New York
Consultant Lucky Nguyen
Date posted June 22, 2017
This Regulatory Relations Compliance Officer will act as a liaison and central point of contact for regulators and requests outside the examination context. Legal experience as a lawyer or paralegal would be highly appreciated in this role. This position is located in Jersey City, NJ.
About the Regulatory Compliance Officer Position:
A well known financial services firm is looking to recruit a team of compliance/legal officers to assist with regulatory examinations, inquiries and enforcement. This team continually works with a number of regulatory bodies in a very dynamic and interactive environment.
- Coordinate all aspects of physical on site examinations
- Process examination team information, data and meeting requests, review data for accuracy/responsiveness prior to submission to regulators, and facilitate receipt/delivery of responsive data
- Interact with regulatory examiners in various examination contexts
- Assist in the coordination of post-examination response letters to regulators. This includes assisting in the drafting of (and drafting where necessary) responses to regulatory recommendations
The ideal candidate for this opportunity will have 3+ years of experience dealing with regulators, regulatory examinations, and regulatory inquiries. Although a legal background as a lawyer or paralegal is highly preferred, it is not required.
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