Job Description

Job Title

Day-to-Day Responsibilities This role involves enhancing the regulatory governance framework for the firm's broker-dealer operations. Key responsibilities include:

1. Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements.
2. Coordinating with the Exams and Inquiries team to handle regulatory requests, maintain evidence repositories, and manage remediation efforts.
3. Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes.
4. Supporting the books-and-records framework by organizing documentation and establishing compliance oversight processes.
5. Collaborating with the Compliance Testing team to identify testing opportunities and develop test designs to enhance regulatory risk management.
6. Participating in governance meetings, contributing to training needs assessments, and supporting oversight and reporting of governance metrics.

Skills Required The ideal candidate should possess:

• 58 years of experience in U.S. Broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements.
• Experience in managing regulatory programs across various departments such as Operations, Finance, and Technology.
• Familiarity with broker-dealer regulatory frameworks and practical application in finance and operations.
• Proficiency in managing regulatory documentation and workflows using tools like AuditBoard, SharePoint, and JIRA.
• Strong communication skills for drafting regulatory documents and engaging with stakeholders.
• Preferred, but not required, Client registrations (Series 7, 14, 24, or 27).

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