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    Regulatory Relations - Jersey City, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Jersey City, United States

    1 day ago

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    Description

    Job Description

    Job Description

    JOB TITLE - Regulatory Relations Associate Director

    HIRING FIRM - An American post-trade financial services company providing clearing and settlement services to the financial markets

    LOCATION - Jersey City OR Boston

    REPONSIBLITIES:

    • Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the Clearing Firm. Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.
    • Facilitate meetings with regulatory agencies and management, including preparing key messages to present when working with regulators.
    • Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.
    • Produce summaries, reports, and other written work product for internal dissemination.
    • Produce briefing documents and presentations for meetings, conferences and other engagements.
    • Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests, as necessary.

    QUALIFICATIONS:

    • Bachelor's degree required. JDs should also apply.
    • Minimum of 5-7 years of related experience inclusive of graduate/law school, as applicable.
    • Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
    • Paralegal experience is a plus.

    OVERVIEW:

    • This position reports to the Executive Director and works with multiple Executive Directors.
    • Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across the clearing firm.
    • Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators.

    MUST HAVE EXPERIENCE:

    • Dealing with regulators
    • Job stability is a must - will not consider job hoppers or consultants.
    • Someone that began their career as a paralegal or in legal, collaborating closely with attorneys, before transitioning into a role within the corporate sector of the financial industry.
    • Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, or regulatory/litigation experience at a law firm.
    • Identify and analyze relevant rule filings, information requests, public meetings, and other actions of regulatory agencies, global standard setting bodies. and the U.S. Government for regulatory policy and supervisory developments.
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