VP, Regulatory Examinations and Inquiries Compliance
Salary $120000 - $140000 per year
Consultant Lucky Nguyen
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known capital markets firm is looking to expand their compliance team with an expert to handle regulatory examinations and regulatory inquiries.
- Review and management of all correspondence with regulators
- Management of all regulatory visits and information requests in conjunction with existing Regulatory Compliance and Regulatory Liaison Officers.
- Review, interpretation end effective distribution of all regulatory publications relevant to the compliance team
- Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
- Work alongside the rest of the compliance team to interpret and explain upcoming regulatory rule changes that will focus on the firm
- Support other Core Compliance functions and participate in special projects
- Bachelor’s Degree
- 6+ years of relatable experience
- Strong communication skills and an ability to interact with regulators
- Understanding of broker dealer rules and regulations