Our client, a Leading Brokerage Firm, is looking for a Regulatory Affairs Senior Compliance Officer to join their growing team.
Location: New York, NY; Boca Raton, FL; Miami, FL, or Winter Park, FL
Position Purpose: Handles regulatory examinations and other engagements administered by state and federal regulatory entities including SEC, FINRA, OCC, DTCC and State Securities Regulators. Responsibilities include serving as a liaison between regulators and Firm Management/ Business Areas while ensuring timely and accurate fulfillment of regulatory requests. The successful candidate will possess five or more years’ experience at a broker-dealer, regulator or law firm responding to inquiries and performing regulatory affairs functions.