We’re looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you’ll oversee our response to regulatory examinations from start to finish.
You’ll serve as a primary point of contact for regulators and coordinate colleagues across the firm to ensure our responses are clear, accurate, timely, and support constructive regulatory relationships. Additional responsibilities of this role will include:
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Interpreting requests and establishing the scope, responsibilities, and timeline for each examination
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Drafting written submissions and preparing colleagues for meetings with examiners
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Reviewing relevant materials to identify areas for improvement or escalation
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Maintaining examination records and improving the processes we use to manage examinations and related inquiries
About you
Requirements
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Have 8+ years of relevant legal, compliance, or regulatory experience in financial services, with deep substantive involvement in regulatory examinations
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Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel
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An excellent writer who can turn complex information into precise, accessible responses
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A polished communicator who can build productive relationships with regulators and handle challenging conversations
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Knowledgeable about the US financial regulatory framework, with the good judgment to recognize when to seek guidance from a subject matter expert
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Highly organized and able to manage deadline-driven work involving contributors from across the firm
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Have a bachelor’s degree (having a JD is a plus, though you will not be acting as a lawyer in this role)
Legal
If you’re a recruiting agency and want to partner with us, please reach out to [email protected]