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Senior Regulatory Compliance Professional

2 months ago

New York, New York, United States JCW Full time

Job Summary:

We are seeking a highly experienced Senior Regulatory Compliance Professional to join our team at JCW. As a key member of our M&A Advisory Boutique, you will be responsible for ensuring our firm's compliance with SEC and FINRA requirements.

Key Responsibilities:

  • Regulatory Analysis: Conduct thorough analysis and provide recommendations on regulatory scenarios, such as preclearance requests for Outside Business Activities (OBA), Personal Securities Transactions (PST), and rule changes or new regulatory guidance.
  • Compliance Management: Ensure the firm's compliance with SEC and FINRA requirements, staying up-to-date on new regulations and assessing their firmwide impact.
  • Mentorship and Coaching: Serve as a mentor and coach for junior compliance teams, providing guidance and support in professional development.
  • Regulatory Strategy: Collaborate with senior leadership on regulatory strategy and decision-making.
  • Compliance Support: Support the firm's broader compliance efforts by ensuring best practices are followed and regulatory risks are mitigated.

Qualifications:

  • Regulatory Experience: Extensive experience with SEC/FINRA regulatory requirements, ideally within an M&A or advisory boutique environment.
  • Analytical Skills: Strong analytical skills with the ability to assess complex scenarios and offer clear, actionable recommendations.
  • Leadership Experience: Previous supervisory experience with a focus on mentoring and developing junior team members.
  • Background: Legal or regulatory background preferred.