Senior Vice President of Regulatory Affairs

2 weeks ago


Whippany, New Jersey, United States TSR Consulting Services, Inc. Full time

Position Overview:

The role of Senior Vice President of Regulatory Affairs is critical in overseeing the regulatory compliance functions within the financial sector. This position is responsible for ensuring that all financial and regulatory reporting obligations are met for various subsidiaries and branches.

Key Responsibilities:

  • Regulatory Oversight: Ensure compliance with SEC, FINRA, CFTC, and CME regulations, focusing on customer protection and capital requirements.
  • Net Capital Computation: Lead the computation of Net Capital in accordance with regulatory standards.
  • Stakeholder Engagement: Present findings and reports to stakeholders, ensuring clarity and accuracy in communication.
  • Process Improvement: Identify and implement enhancements to regulatory reporting processes to increase efficiency and accuracy.
  • Leadership: Delegate tasks effectively and manage team responsibilities to ensure timely completion of deliverables.

Essential Qualifications:

  • Extensive experience in SEC/FINRA Broker Dealer Regulatory Reporting.
  • Strong analytical skills with attention to detail.
  • Ability to build and maintain relationships across various departments.
  • Experience in managing regulatory examinations and audits.

This position requires a proactive individual with strong leadership capabilities and a deep understanding of the regulatory landscape within the financial services industry.



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