Regulatory Affairs Specialist for Self-Clearing Firm
3 weeks ago
Job Description
AJ Consultancy is looking for a highly skilled Regulatory Affairs Specialist to join our team. This is an excellent opportunity for an experienced Chief Compliance Officer to take on a new challenge and lead our regulatory affairs efforts.
The successful candidate will have a strong background in regulatory compliance, with a minimum of 5 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer.
They will be responsible for leading our regulatory affairs team, including overseeing the implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing.
Key responsibilities include managing regulatory interactions, preparing submissions and coordinating responses to inquiries from regulatory authorities, and monitoring compliance issues and changes in regulations.
The selected candidate will also oversee a team responsible for registrations, coordination of broker-dealer audits, inspections, reviews, and examinations, monitoring complaints, conducting surveillance and transaction monitoring, and reporting.
This is a great opportunity for an experienced professional to take on a leadership role and make a significant impact on our organization.
Estimated Salary: $160,000 - $220,000 per year
-
New York, New York, United States AJ Consultancy Full timeAJ Consultancy is seeking a highly experienced Chief Regulatory Affairs Officer to lead our compliance efforts in a rapidly changing regulatory environment. As a key member of our team, you will be responsible for overseeing the implementation of effective compliance standards, managing regulatory interactions, and ensuring that our electronic broker-dealer...
-
Compliance Expert for Self-Clearing Firm
2 weeks ago
New York, New York, United States AJ Consultancy Full timeJob Title: Compliance ManagerCompany Overview: AJ Consultancy offers expert regulatory compliance solutions tailored to the needs of electronic broker-dealers.Salary: The estimated annual salary range is $160,000 - $240,000 based on industry standards and location.Job Description:Key Responsibilities:Design and implement comprehensive compliance programs to...
-
Regulatory Affairs Specialist
3 weeks ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeAbout the JobThis Regulatory Affairs Specialist position plays a critical role in ensuring compliance with US banking regulations. You will provide expert guidance to business and control functions on licensing, authorities, new business activities, investments, trading, and intercompany transactions.The successful candidate will have at least 8 years of...
-
Regulatory Affairs Specialist
3 weeks ago
New York, New York, United States IQ-EQ Full timeiQE-q is a premier service provider to the alternative asset industry. our goal is to provide top-notch compliance solutions that cater to the unique needs of our clients.as a regulatory affairs specialist, you will play a critical role in helping our clients navigate the complexities of regulatory requirements. this position requires strong knowledge of...
-
Regulatory Affairs Specialist
3 weeks ago
New York, New York, United States Michael Page Full timeThe Michael Page organization is seeking a highly skilled Regulatory Affairs Specialist to join their team. This role will be responsible for ensuring that all compliance requirements are met across our portfolio, including recertifications, rent registrations, and lease renewals.The successful candidate will have a strong understanding of regulatory...
-
Regulatory Affairs Specialist
2 weeks ago
New York, New York, United States Pontera Full timeWe are looking for a talented Regulatory Affairs Specialist to join our team at Pontera. As a Public Policy Manager, you will work closely with our Director of Public Policy to design and execute regulatory and legislative strategies supporting consumer choice and retirement outcomes.ResponsibilitiesRepresent Pontera with state and federal policymakers -...
-
Regulatory Technical Writer Specialist
2 weeks ago
New York, New York, United States Lifelancer Full timeJob TitleRegulatory Technical Writer Specialist - Global Regulatory AffairsAbout the RoleWe are seeking a highly skilled Regulatory Technical Writer to join our team in the Global Regulatory Affairs department. As a Regulatory Technical Writer, you will play a crucial role in supporting regulatory document writing to develop the global evidence base for...
-
Senior Counsel, Regulatory Affairs
2 days ago
New York, New York, United States The Farmer's Dog Full timeAbout The RoleWe are seeking a talented Food Law Specialist to join our team as Senior Counsel, Regulatory Affairs. This is a high-impact role that requires expertise in food law, regulatory compliance, and business partnering.Job DescriptionThe successful candidate will have 8+ years of relevant legal experience, preferably in a corporate legal department...
-
Biotechnology Regulatory Affairs Director
3 weeks ago
New York, New York, United States Volastra Therapeutics Full timeJob Title: Biotechnology Regulatory Affairs DirectorWe are seeking a highly experienced Biotechnology Regulatory Affairs Director to join our team at Volastra Therapeutics, Inc. The successful candidate will have a minimum of 10 years of relevant experience in the biotechnology industry, with a strong understanding of FDA regulations, EMA guidelines, and...
-
Regulatory Affairs Director
3 weeks ago
New York, New York, United States Workforce Solutions Virens Global Full timeAbout the RoleWorkforce Solutions Virens Global is seeking an experienced Regulatory Affairs Director to join our team. As a key member of our regulatory affairs department, you will be responsible for ensuring compliance with policies and product regulations.Key Responsibilities:Ensure completion of appropriate documents during the development life cycle...
-
Regulatory Affairs Specialist for AJ Consultancy
2 weeks ago
New York, New York, United States AJ Consultancy Full timeJob Title: Regulatory Compliance OfficerCompany Overview: AJ Consultancy provides innovative regulatory compliance solutions to the financial industry.Salary: The estimated annual salary range is $150,000 - $220,000 based on industry standards and location.Job Description:Key Responsibilities:Develop and maintain effective compliance programs to prevent,...
-
New York, New York, United States Lifelancer Full timeCompany Overviewe.l.f. Beauty is a leader in the clean beauty industry, offering a range of products that prioritize sustainability and effectiveness. With a commitment to innovation and customer satisfaction, we strive to be at the forefront of our field.About the JobWe are seeking a highly motivated Senior Regulatory Affairs Specialist to join our team in...
-
Head of Regulatory Affairs
2 weeks ago
New York, New York, United States FORVIS Full timeAbout the RoleWe are seeking an experienced Head of Regulatory Affairs to join our team at Forvis Mazars. In this role, you will be responsible for leading our Regulatory and Risk Management team, working closely with clients to develop innovative risk management solutions that meet their unique needs. You will have the opportunity to shape the risk...
-
Regulatory Affairs Specialist
2 weeks ago
New York, New York, United States tarte cosmetics Full timeGain hands-on experience in regulatory affairs with tarte cosmeticsCompany Overview: As a pioneer of high-performance naturals, tarte cosmetics is committed to offering cruelty-free, eco-chic cosmetics. Our mission is to share our passion for skinvigorating ingredients with the world.Salary: $21/hour (fall program salary range)Job Description: In this role,...
-
AVP Regulatory Affairs Professional
3 weeks ago
New York, New York, United States Michael Page Full timeAbout the OpportunityJoin Michael Page's prestigious Financial Services team as a AVP Regulatory Affairs Professional. In this critical role, you will play a key part in ensuring our client's regulatory compliance in Corporate Banking and Financial Institutions business.Your primary responsibilities will include monitoring and testing regulatory and internal...
-
Regulatory Affairs Specialist
2 weeks ago
New York, New York, United States Zeta Global Full timeJob DescriptionZeta Global's Data Protection Lead will be responsible for overseeing the development and implementation of our company's data protection strategy, ensuring compliance with relevant regulations, and collaborating with internal stakeholders to drive business growth while protecting customer data.This role requires a highly skilled professional...
-
Regulatory Affairs Officer
3 weeks ago
New York, New York, United States Dominari Securities LLC Full timeJob Summary: Broker-Dealer Compliance SpecialistLocation: New YorkEstimated Salary: $130,000 - $190,000 per yearDominari Securities LLC is a leading broker-dealer and wealth management firm seeking a highly skilled Compliance Specialist to join its team. The ideal candidate will possess 2-5 years of experience in broker-dealer compliance, a deep...
-
Regulatory Affairs Content Specialist
2 weeks ago
New York, New York, United States Lifelancer Full timeWe are seeking a skilled Regulatory Technical Writer to join our team at Lifelancer, a talent-hiring platform in Life Sciences, Pharma and IT. As a Regulatory Technical Writer, you will play a crucial role in supporting regulatory document writing to develop the global evidence base for company development programs.The successful candidate will be...
-
Regulatory Affairs Expert
3 days ago
New York, New York, United States Citigroup Full timeCitigroup is seeking a highly skilled Regulatory Affairs Expert to join our team in New York. As a key member of our regulatory team, you will play a critical role in maintaining and maturing our relationship with regulatory agencies.This exciting opportunity requires a strong background in technology risk or control functions, with experience working in a...
-
Regulatory Affairs Leadership Position
2 days ago
New York, New York, United States MetroPlusHealth Full timeAbout UsMetroPlusHealth is a wholly-owned subsidiary of NYC Health + Hospitals, the largest public health system in the United States. We are committed to building strong relationships with our members and providers to enable them to live their healthiest lives.Job DescriptionThe Senior Director of Regulatory Affairs will be responsible for providing...