Regulatory Relations Associate Director

3 weeks ago

Jersey City, 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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