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.
· 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