VP Compliance Regulatory Inquiries

  • $120K to $140K
  • New York, NY, USA
  • Permanent, Full time
  • Linium Resources
  • 11 Sep 18

Investment Banking firm seeks a VP to manage their compliance program for regulatory inquiries associated with the firm

Handle the receipt, response, and follow-up for regulatory inquiries and examinations 

Field verbal and written inquiries from various regulatory agencies.  This may also include investigations or exams initiated by regulatory agencies.

Coordinate and/or conduct due diligence in connection with regulatory inquiries.

Work closely with relevant subject matter experts and stakeholders throughout the firm to draft and prepare responses.

Escalate and notify business units regarding findings and/or corrective actions required, as appropriate.

·         Ensure proper and complete maintenance of books and records pertaining to the firm's inquiries. 

·         Assess and report trends associated with inquiries and areas targeted by regulatory bodies to management. 

·         Identify, escalate and assist with summarizing regulatory issues for inclusion into enterprise reporting. 

·         Participate in regulatory audits. 

Suggested Qualifications:

·         Law Degree

·         Series 7 licenses

·         Proficient in Microsoft Office (e.g., Outlook, Excel, PowerPoint, etc.)

·         Excellent judgement and analytical skills

·         Excellent written and oral communication skills

·         Ability to interact with regulators

·         In-depth knowledge of broker dealer rules and regulations