Regulatory Exam Manager

We’re looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you’ll oversee our response to regulatory examinations from start to finish.

You’ll serve as a primary point of contact for regulators and coordinate colleagues across the firm to ensure our responses are clear, accurate, timely, and support constructive regulatory relationships. Additional responsibilities of this role will include:

Interpreting requests and establishing the scope, responsibilities, and timeline for each examination

Drafting written submissions and preparing colleagues for meetings with examiners

Reviewing relevant materials to identify areas for improvement or escalation

Maintaining examination records and improving the processes we use to manage examinations and related inquiries

Have 8+ years of relevant legal, compliance, or regulatory experience in financial services, with deep substantive involvement in regulatory examinations

Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel

An excellent writer who can turn complex information into precise, accessible responses

A polished communicator who can build productive relationships with regulators and handle challenging conversations

Knowledgeable about the US financial regulatory framework, with the good judgment to recognize when to seek guidance from a subject matter expert

Highly organized and able to manage deadline-driven work involving contributors from across the firm

Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this role)

If you're a recruiting agency and want to partner with us, please reach out to [email protected]