Vice President of Compliance and Regulatory Exams
Vice President of Compliance and Regulatory Exams
About the Company
Well-established broker dealer
Industry
Insurance
Type
Privately Held
About the Role
The Company is seeking a VP Compliance with a focus on Regulatory Exams to join their team. The successful candidate will be responsible for managing regulatory examinations across various business functions, including operations, finance, regulatory reporting, and sales and trading. This role involves preparing business personnel for meetings with regulators, supporting the ongoing supervision program, and providing regular updates to management on regulatory matters. The VP will also be tasked with analyzing and summarizing information for regulatory requests, communicating with regulators, and working with internal teams to ensure compliance and remediation of any issues. Applicants for the VP Compliance - Regulatory Exams position at the company should have a strong background in compliance and a deep understanding of regulatory requirements. The role requires extensive communication, both orally and in writing, and the ability to develop effective relationships with regulators. The ideal candidate will be adept at preparing written responses to regulatory requests, identifying mitigating factors for issues, and contributing to the development of core compliance processes. Additionally, the VP will be involved in enterprise-wide special projects and must be capable of executing an issues management process for tracking regulatory findings. A proactive approach, attention to detail, and the ability to work in a dynamic, fast-paced environment are essential.
Travel Percent
Less than 10%
Functions
- Finance
Additional Information
- City
- Manhattan
- State
- NY
- Zip
- 10048
- Country
- United States
- Job Type
- Finance
- Mobile Friendly Apply
- No
- Html Jobs
- Yes
- Url
- https://click.appcast.io/t/qev7WCkADjgHI0Elz4BssusXR-uw3eQfM2hHpDvXNVT7yleQ-BmQB4J3G-sLRe0BVReQHBK3cDz4byx1GTkNEw==
- Cpc
- 0.22