Job Description

Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries.
Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference.
Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data.
Assist with additional regulatory, compliance-related matters, and special projects as assigned.

Responsibilities

Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA.
Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready.
Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations.
Identify and appropriately escalate issues encountered during inquiry review or analysis.
Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.

Qualifications

In-depth knowledge of securities products, especially listed and OTC equities.
Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
Ability to manage and interpret communications between regulators and internal business units.
Strong organizational, analytical, research, and written communication skills.
Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
Ability to work both independently and collaboratively in a fast-paced environment.
Strong understanding of the securities industry regulatory framework.
Familiarity with FINRA and SEC rules and regulations.
Bachelor’s degree required; advanced degree or JD is a plus.

AVP, Regulatory Inquiries Compliance Associate

Key skills