Regulatory Relations

3 weeks ago

Jersey City NJ United States Larson Maddox Full time

JOB TITLE - Regulatory Relations Associate Director

HIRING FIRM - An American post-trade financial services company providing clearing and settlement services to the financial markets

LOCATION - Jersey City OR Boston

REPONSIBLITIES:

  • Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the Clearing Firm. Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.
  • Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators.
  • Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.
  • Produce summaries, reports, and other written work product for internal dissemination.
  • Produce briefing documents and presentations for meetings, conferences and other engagements.
  • Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary.

QUALIFICATIONS:

  • Bachelor's degree required. JDs should also apply.
  • Minimum of 5-7 years of related experience inclusive of graduate/law school, as applicable.
  • Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
  • Paralegal experience is a plus.

OVERVIEW:

  • This position reports to the Executive Director and works with multiple Executive Directors.
  • Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the clearing firm.
  • Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.

MUST HAVE EXPERIENCE:

  • Dealing with regulators
  • Job stability is a must - will not consider job hoppers or consultants.
  • Someone that began their career as a paralegal or in legal, collaborating closely with attorneys, before transitioning into a role within the corporate sector of the financial industry.
  • Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
  • Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.

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