Financial Regulatory Specialist

3 weeks ago

Washington, Washington, D.C., United States Patomak Global Partners Full time

Patomak Global Partners, LLC is seeking a Financial Regulatory Specialist to join our team in Washington, D.C. This mid-level professional will work on compliance and regulatory strategy issues for financial industry clients, particularly broker-dealers, investment advisers, private equity firms, fintech companies, and digital asset trading platforms.

This role may also involve supporting expert witness engagements related to securities litigation as needed. The ideal candidate will have relevant SEC, FINRA or State Securities experience, and/or experience at a law firm working on securities matters or consulting firm.

Key Responsibilities:

  • Assess client compliance programs focusing on specific hot topics and regulatory requirements across registered entities and jurisdictions
  • Familiarize yourself with the application of rules and regulations pursuant to the Securities Exchange Act of 1934 and Investment Advisers Act

Requirements:

  • 3-8 years regulatory or SRO experience (e.g., SEC, FINRA) or private sector (e.g., consulting firm, law firm, compliance department)
  • Law degree preferred but not required

What We Offer:

  • Patomak offers enrollment to full-time employees (and eligible dependents) in a comprehensive health insurance plan
  • Patomak offers participation in a 401(k) plan
  • Patomak offers long-term disability coverage to all full-time employees

The estimated salary for this position is $150,000-$200,000 per year, depending on qualifications and experience. We are an equal opportunity employer and do not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation.

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