Regulatory Compliance Counsel/analyst Counsel Jobs in New_York - 146315 | Submit Resume | General Counsel Consulting
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Melinda Burrows
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Regulatory Compliance Counsel/analyst
Refer job# GMXD146315
 
Regulatory Compliance Counsel / Analyst The candidate will serve as the face of company to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency. Will coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities regulators, partnering with various internal departments to both gather required data and drive regulator-initiated remediation. Manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regulator interaction with regulatory personnel & company senior managers and personnel throughout the firm. Identify, organize and coordinate document productions including assessing responsiveness and ensuring that information is presented in context. Identify and escalate issues posing potential regulatory risk. Draft written responses. Engage with regulators to advocate the firm's position and point of view. Negotiate and resolve formal disciplinary actions as needed. Handle on-the-record interviews conducted by regulators of firm personnel. Select, engage and manage outside counsel as needed. Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation. Create and distribute internal reports relating to pending regulatory matters. Should preferably have a J.D. degree from an accredited law school. Must have 5-10 years of experience in another broker-dealer, regulatory entity, or law firm practicing in broker-dealer regulatory matters, preferably in connection with examinations or regulatory inquiries. Should have significant experience with and understanding of FINRA and SEC Rules and Regulations, particularly those pertaining to trading activities of Equities, Fixed Income products, options and futures such as Reg NMS, Reg SHO, and the Market Access Rule as well as attendant regulatory reporting requirements.
 
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