URGENT HIRE: HEAD OF REGULATORY AFFAIRS
We have partnered with a large Broker-Dealer offering IB, M&A, research, sales, and trading services in search of a Head of Regulatory Affairs to join the growing compliance team.
This position is 3 days a week onsite in Manhattan, New York.
Role / Responsibilities:
- 10+ years minimum experience in a legal, compliance and/or regulatory role in regards to handling regulatory responses/matters
- MUST possess experience and knowledge of IB issues and regulations as well as securities trading
- Respond to regulatory inquiries from the SEC, FINRA, etc.
- Handle all routine regulatory examinations of the firm
- Possess deep knowledge in fixed income, equities, IB, options trading and research
- Frequently interact and coordinate with business partners and support functions to prepare and develop all regulatory responses
- Consult compliance and broader business partners in regards to regulatory matters and updates
- Remediate and address regulatory items/inquiries while identifying firm processes and technologies
Please apply below or email a copy of your updated CV to ...@hamlynwilliams.com for inquiries.