Head of Regulatory Affairs

URGENT HIRE: HEAD OF REGULATORY AFFAIRS

We have partnered with a large Broker-Dealer offering IB, M&A, research, sales, and trading services in search of a Head of Regulatory Affairs to join the growing compliance team.

This position is 3 days a week onsite in Manhattan, New York.

Role / Responsibilities:

• 10+ years minimum experience in a legal, compliance and/or regulatory role in regards to handling regulatory responses/matters
• MUST possess experience and knowledge of IB issues and regulations as well as securities trading
• Respond to regulatory inquiries from the SEC, FINRA, etc.
• Handle all routine regulatory examinations of the firm
• Possess deep knowledge in fixed income, equities, IB, options trading and research
• Frequently interact and coordinate with business partners and support functions to prepare and develop all regulatory responses
• Consult compliance and broader business partners in regards to regulatory matters and updates
• Remediate and address regulatory items/inquiries while identifying firm processes and technologies

Please apply below or email a copy of your updated CV to g.keller@hamlynwilliams.com for inquiries.