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Head of Regulatory Compliance
Ref No.: 17-04064
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 200,000.00 - 225,000.00 /Year
A large financial services firm is looking for a Head of Regulatory Compliance. The Head of Regulatory Compliance will be in charge of all relationships with regulators and issues pertaining to the ongoing examinations that the orgnization goes through on a continuous basis. The major and main regulator is the SEC. The Head of Regulatory Compliance will be in charge of a small team of three direct reports. The Head of Regulatory Compliance will cover the US and Canada parts of the business.
The best candidate must have experience liaising with the SEC. Other preferable regulators include Client, CFTC, NFA, and the Fed. Management experience is a must, too. The team is small but composed of people that need mentorship and leadership. Furthermore, this role requires being in the weeds and not just delegating. 7+ years of experience is ideal.


Third Party Applications Not Accepted