Exams & Investigations VP
Job Context (General overview of position): The position, reporting to the head of the Examinations/Special Investigations unit, will serve as one of the Firm's primary interfaces with the SEC, NYSE, NASD and other examining authorities, including bank examiners other than the Federal Reserve and New York State Banking Department.
In this capacity, he/she is responsible for negotiating with the regulatory agencies regarding the substance and scope of their examinations or requests for information.
He/she must be able to effectively analyze and interpret the impact of the requests upon the organization as well as advocate the Firm's position to the regulators both verbally and through formal written responses.
The position will be responsible for comprehensively analyzing complex regulatory rules and briefing Compliance management and front-office staff (traders, senior traders, desk heads, etc.) on the implications to the Firm's business.
He/she will make recommendations to Compliance senior management regarding regulatory trends and current events.
Implementing the recommendations requires demonstrable, in-depth knowledge of fixed income and equities business and the ability to communicate this understanding to key business line partners in order to build effective working relationships.
He/she will collaborate with Compliance Advisory, Monitoring and Surveillance, Registration, Control Room, Legal, and business units during investigations and in the preparation of the Firm's responses to subpoenas and regulatory authorities.
Level of skills, abilities and knowledge: Minimum of 4 5 years in responsible positions at financial services firms, with direct, frequent contact with senior front office personnel Legal or broker-dealer compliance experience required In-depth knowledge of regulatory rules (e.
g., 1933 Act, 1934 Act, SRO rules including, among others, Trade Reporting Rules (OATS, ACT, TRACE, MSRB) Reg. M, NYSE Rules 92 an
97. and industry practices required College degree; law degree a plus Outstanding analytical, problem solving, communication, and interpersonal skills Articulate, with excellent oral and written communication skills, including the ability to analyze issues and express ideas in a clear, concise manner The ability to think "on your feet" and in a fast-paced, dynamic environment Collaborative and capable of generating ideas, establishing direction and obtaining commitment in a complex matrix organization Maturity, credibility and unquestioned integrity To apply please send your resume to Jack Kelly at jkelly [at] compliancesearch [dot] com
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