This job ad has been posted over 40 days ago...
Regulatory Exams and Inquiries Compliance Officer
at Michael Lane in New York, NY
Prepare for and coordinate regulatory exams. Obtain, review and organize documents for examination team. Prepare staff for and facilitate meetings with examiners. Maintain accurate and complete examination records. Work with colleagues to prepare formal responses to findings letters.
• Research and respond to regulatory inquiries from FINRA, NYSE, SEC and other securities regulatory agencies in connection with market manipulation, insider trading, trade reporting, etc.
• Research, retrieve, and organize documents and information requested as exhibits in conjunction with such inquiries.
• Analyze such information in order to prepare formal responses to regulators and provide advice to business and Compliance personnel.
• Excellent written and oral communication skills.
• Work well with members of other areas of Legal and Compliance and the front office.
• Extensive understanding of equity and fixed income trading.
• Assist on special projects as assigned.
• Flexibility for being at work for early morning meetings; long hours are sometimes needed. Must be able to work in a fast-paced regulatory environment, simultaneously handling numerous inquiries or exams.
• Candidate should have excellent organizational, negotiating and inter-personal skills; should be solutions driven, confident, highly motivated and organized team player with impeccable integrity.
• Candidate should be able to act decisively and independently in situations requiring quick analysis and decision making.
• Series 7 preferred
• 4 yr College Degree minimum.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
• Research and respond to regulatory inquiries from FINRA, NYSE, SEC and other securities regulatory agencies in connection with market manipulation, insider trading, trade reporting, etc.
• Research, retrieve, and organize documents and information requested as exhibits in conjunction with such inquiries.
• Analyze such information in order to prepare formal responses to regulators and provide advice to business and Compliance personnel.
• Excellent written and oral communication skills.
• Work well with members of other areas of Legal and Compliance and the front office.
• Extensive understanding of equity and fixed income trading.
• Assist on special projects as assigned.
• Flexibility for being at work for early morning meetings; long hours are sometimes needed. Must be able to work in a fast-paced regulatory environment, simultaneously handling numerous inquiries or exams.
• Candidate should have excellent organizational, negotiating and inter-personal skills; should be solutions driven, confident, highly motivated and organized team player with impeccable integrity.
• Candidate should be able to act decisively and independently in situations requiring quick analysis and decision making.
• Series 7 preferred
• 4 yr College Degree minimum.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 14-07-2010
Viewed: 19 times
Viewed: 19 times