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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Regulatory Compliance Counsel/Analyst Job in New York > Regulatory Compliance Counsel/Analyst

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Regulatory Compliance Counsel/Analyst

Refer job# JWFP146630

Regulatory Compliance Counsel/Analyst The candidate will serve as the face of firm to its regulators in presenting commitment to regulatory compliance and strong culture of integrity and transparency. Will work for the team that handles all aspects of SEC, FINRA and other regulatory matters relating to IB business, and partners with senior business managers to ensure execution of regulatory-driven remediation. 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. Responsibilities include: Management and oversight of regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regulator interaction with regulatory personnel and firm senior managers and personnel throughout the firm; Identification, organization and coordination of document productions including assessing responsiveness and ensuring that information is presented in context; Identification and escalation of issues posing potential regulatory risk; Drafting of written responses; Engaging with regulators to advocate the Firm's position and point of view; Negotiating and resolving formal disciplinary actions as needed; Handling on-the-record interviews conducted by regulators of firm personnel; Selecting, engaging and managing outside counsel as needed; Working closely with business and compliance personnel to formulate remedial actions and track/drive implementation; and Creation and distribution of internal reports relating to pending regulatory matters. Should 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. Strong organizational and project management skills, strong written and verbal communication skills, and the ability to multi-task is essential. 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. Must be Proficient in Microsoft Word, Excel and PowerPoint. A JD from an accredited law school is preferred.

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