Manager, Regulatory Program Management

The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.

Key Responsibilities and Duties

• Creates and maintains processes that ensure adherence to regulatory requirements.
• Designs the evaluation and testing of regulatory processes and controls.
• Presents reports of Compliance findings and applicable recommendations to management.
• Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
9IC