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Regulatory Exams Group - VP
Competitive Compensation Package
Winning Culture and Management Team
About Our Client
My client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.
- Managing and coordinating all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges.
- Responding to requests for documents and information.
- Communicating with regulators regarding document requests, areas of review, and potential findings; Identifying and analyzing potential findings.
- Communicating with senior management, business, and risk regarding exam status, potential findings, and remediation.
- Drafting formal responses to findings.
The Successful Applicant
- 5 to 10 years of experience handling regulatory examinations.
- Experience dealing with external regulators and responding to regulatory requests.
- Excellent communication skills, both written and verbal.
- Experience in the financial services industry.
- Experience with both institutional and retail business preferred.
What's on Offer
- Full Benefits
- 401(k) match