Description
A prominent financial services firm is seeking a compliance professional to work in the Regulatory Affairs group to handle any and all compliance and legal issues. The candidate should have a strong understanding of securities laws and rules and compliance policies and procedures. The person in this position will investigate, draft, coordinate and file responses to inquiries received from regulators, interface directly with regulators and financial advisors during the course of regulatory examinations, interface with various business units, and work with the group's attorneys.Responsibilities:
- Respond to regulatory inquiries. This involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response.
- Serve as lead liaison for branch exams. Assist financial advisors with regulatory exams, and provide regulators with requested information.
- Serve as a liaison for FINRA and SEC exams. Assist firm employees in preparing for the exam, and support them throughout the exam process. Collect, analyze, and provide documents requested by the regulators.
- Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.
- Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.
Qualifications:
- 7+ years of regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
- Series 7 and 24 licenses
- Bachelor's degree
- Ability to properly interpret and analyze regulatory and compliance issues
- Thorough understanding of brokerage and investment advisor operations and compliance processes
- Exceptional oral and written communication skills and the ability to independently draft letters and other documents
- Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
- Ability to work independently
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com