Job Summary:
This role sits within Compliance and is responsible for strengthening the Firm's broker-dealer regulatory governance framework by serving as a central coordinator across regulatory obligations, examinations, memberships, recordkeeping, and assurance activities. The position owns the regulatory calendar and obligation tracking process, supports multi-regulator exams and remediation efforts, and maintains critical documentation and evidence in partnership with Operations, Finance, Treasury, Technology, and Transaction Reporting teams. The role also provides foundational support for compliance testing and risk assessment by identifying focus areas, documenting regulatory expectations, and enabling scalable oversight, testing, and training programs. Through strong organization, cross-functional collaboration, and disciplined process design, this role helps ensure the Firm's broker-dealers meet regulatory expectations consistently and sustainably year over year
Day-to-Day Responsibilities:
This role involves enhancing the regulatory governance framework for the firm's broker-dealer operations. Key responsibilities include:
- Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements.
- Coordinating with the Exams and Inquiries team to handle regulatory requests, maintain evidence repositories, and manage remediation efforts.
- Overseeing the documentation lifecycle for membership applications and ensuring compliance with regulatory changes.
- Supporting the books-and-records framework by organizing documentation and establishing compliance oversight processes.
- Collaborating with the Compliance Testing team to identify testing opportunities and develop test designs to enhance regulatory risk management.
- Participating in governance meetings, contributing to training needs assessments, and supporting oversight and reporting of governance metrics.
Skills Required:
- Most recent experience on the Broker-Dealer side!
- 8+ years of experience in U.S. broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements.
- Experience in managing regulatory programs across various departments such as Operations, Finance, and Technology.
- Familiarity with broker-dealer regulatory frameworks and practical application in finance and operations.
- Proficiency in managing regulatory documentation and workflows using tools like AuditBoard, SharePoint, and JIRA.
- Strong communication skills for drafting regulatory documents and engaging with stakeholders.
- Preferred, but not required, Client registrations (Series 7, 14, 24, or 27).
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Pay: $125,000.00 - $145,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Flexible spending account
- Health insurance
- Vision insurance
Education:
Experience:
- Broker-Dealer Compliance: 8 years (Required)
Ability to Commute:
- New York, NY 10016 (Required)
Work Location: In person
