New job Regulatory Examinations & Inquiries New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Regulatory Examinations & Inquiries New York, NY Gerald Elliott posted a job: Regulatory Examinations & Inquiries New York, NY "Our client, a top-tier investment bank, seeks a Compliance professional to interact with the SEC, FINRA and other regulators concerning examinations and inquiries. Responsibilities include: • Assisting in the management of securities examinations and on-going supervision coordination • Develop and manage various tracking systems to manage and report on securities examinations and on-going supervisory requests • Other ad hoc duties and activities as directed by the Director, Securities Regulatory Compliance • Provide some logistical and administrative support to the Securities Regulatory Compliance unit Qualifications: • 4+ years broker-dealer regulatory compliance/legal experience • Demonstrated understanding of institutional and retail broker-dealers • Demonstrated knowledge of mass information delivery systems such as SharePoint and Intralinks • Demonstrated communication and logistical management skills • Demonstrated understanding of investment banking • Demonstrated understanding of securities laws and regulations To apply please submit your resume to Whitney Fairchild – Info@compliancesearch.com"

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