Hybrid
New Jersey
Posted 2 weeks ago
- Being a member of our clients Regulatory Relations Department the candidate will be supporting the team that handles regulatory matters for regulated entities including its global trade repository subsidiaries.
RESPONSIBILITIES:
- Serve as an interface with domestic and global regulators
- Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments
- Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators
- Coordinate all aspects of physical onsite examinations including the coordination of meetings, and the review and submission of documentation to regulators
- Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators.
- Produce summaries, reports, and other written work product for internal dissemination.
- Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary
- Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.
- Generally assist the Regulatory Relations leadership team, as necessary.
QUALIFICATIONS:
- Minimum of 5 years of related experience
- Bachelor’s degree preferred or equivalent experience
- Understanding of global regulatory authorities (including for example, European Securities and Markets Authority (“ESMA”), Financial Conduct Authority (“FCA”), and/or Monetary Authority of Singapore (“MAS”).
- Derivatives experience is valued
- Given the global nature of this role, the position will require occasional work outside of standard U.S. business hours.