VP Compliance – Regulatory Exams

Broker dealer located in Midtown Manhattan looking to bring on board a “VP Compliance – Regulatory Exams” to join their team. This role is currently in a hybrid schedule (3 days in office / week).

Responsibilities:

• Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.

• Support ongoing supervision program running quarterly and ad hoc meetings with the Firm's prudential regulators and handle deep dive meeting requests

• Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.

• Analyze and summarize information/documentation responsive to regulatory requests.

• Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.

• Prepare substantive written responses to regulatory requests and examination reports, and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.

• Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.

• Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.

• Execute issues management process for tracking regulatory findings.

• Assist in the ongoing development of core compliance processes as needed.

• Participate in enterprise-wide special projects as needed.