AVP, Regulatory Inquiries Compliance Associate

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 response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.

Qualifications

• In-depth knowledge of securities products, especially listed and OTC equities.
• Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
• Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
• Ability to manage and interpret communications between regulators and internal business units.
• Strong organizational, analytical, research, and written communication skills.
• Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
• Ability to work both independently and collaboratively in a fast-paced environment.
• Strong understanding of the securities industry regulatory framework.
• Familiarity with FINRA and SEC rules and regulations.
• Bachelor’s degree required; advanced degree or JD is a plus.