New job Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey Gerald Elliott posted a job: Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey "Our client is a division of a diversified financial services firm. The Company seeks a talented candidate for a position as a Manager in the firm's Regulatory Inquiries and Exams unit within the Compliance Department. The position will entail serving as a liaison and intermediary with regulatory agencies. Responsibilities of the role will include: Responding to various types of inquiries from regulatory organizations, such as FINRA, NYSE, CBOE, SEC and Federal Reserve Bank; Working closely with all levels of management across different lines of business and legal and compliance departments to craft responses to inquiries that may involve sales, trading, operations and regulatory reporting requirements; Identify suspicious or unusual activity; file internal incident reports; Direct interaction with staff at regulatory bodies in the course of responding to inquiries; Research, analyze and prepare timely responses to regulatory inquiries; Manage and facilitate the Firm’s interaction with regulators conducting examinations on site; Prepare daily, weekly, and monthly reports; provide updates, identify, follow up and track corrective action as needed as a result of inquiries and exams Prepare statistical information and reports identifying inquiries Qualifications: JD preferred; 7 – 10+ years from clearing or large self clearing broker dealer or equivalent regulator experience extensive knowledge of NASD/FINRA/ NYSE rules covering operations, sales and trading Experience, either in-house, with law firm, or with regulator, in handling regulatory inquiries from FINRA, NYSE, and SEC – Required In-house experience at broker-dealer firm that includes responding to requests from regulators - Highly Preferred Experience in financial services operations, including regulatory reporting requirements such as TRACE, OATS, INSITE, Margin, etc. To apply please submit your resume to Info@compliancesearch.com"

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