AVP, Regulatory Inquiries Compliance Associate

Job description

Job Description: - Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries. - Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference. - Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data. - Assist with additional regulatory, compliance-related matters, and special projects as assigned. Responsibilities: Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA. - Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready. - Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations. - Identify and appropriately escalate issues encountered during inquiry review or analysis. - Coordinate fact gathering and respons...