VP, Regulatory Affairs Specialist (Regulatory Exams) (New York)

Vice President Regulatory Group

We are seeking a seasoned professional to join our Regulatory Group as a Vice President, with a primary focus on managing regulatory exams. This role is part of the Firm's Legal Department and plays a key role in ensuring regulatory compliance and oversight. While a legal background is welcome, a law license is not required.

Responsibilities : Serve as a contributor or lead in managing regulatory exams conducted by the Firm's regulators including the CFTC, CIRO, DTCC, FINRA, NFA, OCC, SEC, and state regulators Manage relationship with exam staff Extract, analyze, and produce data to regulators Partner with internal stakeholders to ensure timely and accurate responses Escalate potential issues during the exam process Partner with compliance and business on remediation plans when required and track status Work closely with exam staff to address concerns, potential issues, and identified issues Monitor and assess regulatory changes and their impact on the Firm Contribute to governance-related activities and regulatory deliverables Support branch and non-branch location inspections

Qualifications : Bachelor's degree required Minimum of 10 years of experience in the financial services industry Experience managing exams of Broker-Dealers, Commodity Pool Operators, Registered Investment Advisers, and Swap Dealers Strong interpersonal skills with the ability to build and maintain relationships with internal stakeholders and external regulators Proven ability to deliver high-quality work under tight deadlines Effective project management skills Proficiency in Microsoft Excel, Word, and PowerPoint

Primary Location Full Time Salary Range of $140,000 - $170,000.