Regulatory Compliance Officer

Overview

• Lead regulatory compliance efforts for a dynamic financial services firm, ensuring adherence to SEC, FINRA, and other securities regulations.
• Collaborate with senior management and business areas to address regulatory inquiries and examinations effectively.
• Provide strategic guidance on compliance matters, enhancing organizational processes and technology.
• Coordinate responses to regulatory inquiries, including document collection and preparation.
• Develop and maintain strong relationships with regulatory bodies and internal stakeholders.
• Ensure timely and accurate reporting, including annual FINRA 3120 Report preparation.
• Contribute to a culture of compliance and operational excellence within the organization.

Key Responsibilities & Duties

• Respond to regulatory inquiries and examinations, ensuring compliance with applicable securities regulations.
• Coordinate document and information collection for regulatory responses.
• Advise colleagues and business partners on regulatory matters and compliance strategies.
• Identify and remediate processes and technologies to address regulatory requirements.
• Prepare and submit accurate and timely regulatory reports, including the FINRA 3120 Report.
• Collaborate with legal, operations, and IT teams to enhance compliance practices.
• Maintain up-to-date knowledge of securities trading, investment banking, and research regulations.

Job Requirements

• Bachelor’s degree in a relevant field, such as Business or Law.
• Minimum of 10 years of experience in compliance or regulatory roles within financial services.
• Proficiency in securities trading, investment banking, and research regulations.
• Strong oral and written communication skills for effective stakeholder engagement.
• Exceptional attention to detail, analytical, and time management abilities.
• Experience with systems for retrieving order and trade data is preferred.
• Legal training or direct regulatory experience is highly desirable.