Compliance-Vice President-Regulatory Compliance

Job Description:

Responsibilities

• Ensuring that regulatory matters received by the firm are appropriately tracked;
• Research applicable rules and interpretive guidance;
• Taking ownership of processes and controls within the team, driving the development of methods to improve processes and/or controls to ensure that these are efficient, effective and relevant;
• Conduct informational interviews and gather responsive documentation;
• Coordinate with internal stakeholders regarding regulatory information requests and the firm’s responses;
• Apply excellent analytical abilities to research and draft comprehensive, accurate and persuasive responses to diverse regulatory requests for information;
• Escalate situations that maybe potential control failings, as appropriate, to relevant divisional compliance officers and business unit managers;
• Monitor the firm’s progress in completing undertakings made to regulators during the course of inquiries and exams, among other responsibilities.

Qualification & Experience

• Graduate degree in law, business, or other relevant program;
• At least 7+ years’ experience in Compliance, Legal or other control function. A regulatory background would be highly regarded;
• Working knowledge of securities markets, businesses, products;
• Working knowledge of securities and exchange rules and regulations;
• Proficiency with Microsoft Word, Excel and PowerPoint;
• Experience working with Tableau, Alteryx or Python for data analysis and/or automation would be highly regarded.