Regulatory Affairs Specialist for Self-Clearing Firm

3 weeks ago


New York, New York, United States AJ Consultancy Full time

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



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