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Regulatory Affairs Specialist Jobs

Company

CitiStaffing
Address New York, NY, United States
Employment type FULL_TIME
Salary
Category Investment Banking
Expires 2023-08-18
Posted at 9 months ago
Job Description

Regulatory Affairs Specialist


Global investment bank is looking for a Regulatory Affairs Specialist to join the trading compliance group! The Regulatory Affairs Specialist will handle all types of regulatory inquiries, but inquiries are expected to focus on equity, fixed income, and options trading, especially market making, best execution, Regulation NMS, short sales, trade reporting, mark-ups/commissions, manipulation, and anti-money laundering.

Responsibilities Include:

  • Interface with regulators, including negotiating request limitations and response deadlines
  • Work closely with CCO in facilitating routine regulatory examinations of the firm
  • Review and prepare documents for production to regulators and ensure timely and accurate responses to all regulatory inquiries
  • Escalate potential issues within Compliance and Legal Departments
  • Analysis of requests, responses, and related documents for potential regulatory issues


Required Qualifications

  • Excellent computer/technology skills, particularly using systems to retrieve order and trade data and Microsoft Excel
  • Significant experience analyzing securities trading
  • Experience using Relativity and/or Global Relay Retrieval Platforms
  • Bachelor's Degree required
  • Minimum of 5+ years of experience in securities compliance, including a minimum of 5 years handling inquiries from securities regulators such as the SEC and FINRA