Regulatory Operations Job


The ideal person has operations background not compliance..Someone who works or worked at the SEC or FINRA.  We are looking for someone with specific  15c3-3 (Customer Protection); 15c3-1 (Net Capital), Commodities Segregation experience in their profile.

Responsible for identifying emerging regulatory issues affecting the securities industry and helping to coordinate the response to those issues.  Provide analysis to inform SEC/FINRA’s policy decisions and provide industry and investor guidance in the form of regulatory notices and investor alerts