A financial services firm in Midtown, NY, is seeking a Regulatory Compliance Manager for their Broker-Dealer team. This role will focus on overseeing and managing compliance initiatives, particularly around regulatory changes and guidelines. Key responsibilities include:
- Regulatory Research & Compliance: Proactively researching new regulatory mandates to guide the firm on compliance needs.
- Policy Implementation: Developing and enforcing regulatory policies, procedures, and compliance programs.
- Regulatory Interaction: Directly interfacing with NFA and CFTC regulators, especially during exams.
Requirements:
- 7-10 years of experience in regulatory compliance within a Broker-Dealer/Swap Dealer environment.
- Deep knowledge of CFTC and NFA regulations.
- Strong communication skills, both written and verbal.
This role is ideal for professionals with a thorough understanding of regulatory frameworks and a proactive approach to compliance management.
