Regulatory Exams Professional
Position Description
Manage and coordinate all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges. Responsibilities include 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 in LCD, business, and risk regarding exam status, potential findings, and remediation; and drafting formal responses to findings.
Skills Required
3 - 5 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 industry
Experience with both institutional and retail business preferred
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