Regulatory Inquiries Professional, Director
Core
Handle complex regulatory inquiries from analysis of trading data and books and records requests to drafting responses to regulators.
Role type
Director, Regulatory Inquiries Professional
Builds
Regulatory responses and reports for market regulation
Domain
Financial Services / Securities Regulation
Required skills
Regulatory inquiry analysis, Trading data analysis, Books and records extraction, Regulator relationship management, Stakeholder collaboration, Technology liaison
Preferred skills
Generative AI tools (Copilot), Advanced Excel, Legal document interpretation
Technologies
MS Office (Excel, Word), Firm systems, Electronic blue sheet reporting
Responsibilities
Analyze trading data and complex books and records for regulatory inquiries, Draft responses to regulators, Maintain relationships with regulators, Liaise with technology and business stakeholders, Support adhoc projects
Seniority
Director, Strategic & Operational Leadership