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About the Role
Oversee regulatory examination responses from start to finish, serving as a primary point of contact for regulators and coordinating internal teams to ensure clear, accurate, and timely responses.
Responsibilities
- Interpret requests and establish scope, responsibilities, and timelines for examinations.
- Draft written submissions and prepare colleagues for meetings with examiners.
- Review relevant materials to identify areas for improvement or escalation.
- Maintain examination records and improve processes for managing examinations and inquiries.
Requirements
- 8+ years of relevant legal, compliance, or regulatory experience in financial services.
- Deep substantive involvement in regulatory examinations.
- Direct experience with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel.
- Excellent writing skills to transform complex information into precise, accessible responses.
- Polished communication skills to build productive relationships with regulators and handle challenging conversations.
- Knowledge of the US financial regulatory framework.
- Good judgment to recognize when to seek guidance from a subject matter expert.
- Highly organized with the ability to manage deadline-driven work involving cross-firm contributors.
Skills
- Regulatory examination management
- Regulatory response drafting
- Stakeholder coordination
- Communication
- Writing
- Organization
- Time management
- US financial regulatory framework knowledge
Location
- New York
Work Type
- Full-time
Experience Level
- 8+ years
Education Level
- Bachelor's degree
- JD is a plus
About the Company
- Legal and Compliance team