Regulatory Inquiries Compliance Officer

Job ID: 5474
Location: New York, NY
Category: Compliance

This leading financial institution located in the financial district is seeking a Regulatory Inquiries Compliance Officer with a minimum of 5 years of relevant experience and extensive securities and futures product knowledge. Salary 180K flexible depending on experience. Attorney preferred. 

The Compliance team is responsible for handling and submitting accurate, complete and timely responses to regulatory inquiries and sweep examinations of the company and its affiliates, the firm’s Broker-Dealers, Futures Commission Merchants, and Introducing Brokers by Securities and Commodities regulators, Self-Regulatory Organizations, Securities Exchanges and State and Federal Agencies.   


  • Work under the direction of the CCO(s) and the Firm’s Legal Department to handle internal regulatory filings and perform administrative due diligence related to inquiries and examinations.
  • Submit accurate, complete and timely responses (including relevant documentation) to the Firm’s regulators, and maintain internal archives for future reference.
  • Speak with regulators on a daily basis regarding the Firm’s submissions and explain and/or clarify responses, including information contained in exhibits.
  • Manage and foster relationships with regulators by demonstrating the Firm’s good faith, cooperative approach and institutional credibility.  
  • Assist in other regulatory and/or compliance matters and special projects when needed.


  • Research, analyze and respond to regulatory inquiries and/or sweep examinations, including third-party subpoenas, from the SEC, CFTC, FINRA, CBOE, Securities Exchanges, and State and Federal agencies relating to potential statutory and SRO/Exchange rule violations. 
  • Analyze complex trading data and prepare written responses and statements, interact with Legal, Compliance, Operations, Regulatory Control, Trading, Business Management and Information Technology personnel, inside and outside counsels, and any other relevant employees as necessary in fact gathering and in preparation of the Firm’s responses.
  • Work with Compliance, Business and IT personnel regarding “real time” trading situations presented by regulators relating to regulatory and trade reporting issues, including confirmation that the Firm is complying with any of the rules at issue.   


  • Extensive Securities and Futures product knowledge
  • 5-10 years prior relevant experience in Compliance/Regulatory Inquiry-related roles is preferred.
  • Experience working with Securities Industry Regulators (FINRA, BATS, SEC, CFTC, NFA, CME, ICE, etc.) is required.
  • Ability to understand/manage communications between the Firm’s businesses and regulators.
  • Excellent project and time management skills and computer proficiency are essential. 
  • Strong organizational, research, analytical, written and communication skills are required to excel in this position.     
  • Must be able to work independently, proactively and in a team environment as needed. 
  • Understanding of the regulatory environment as it relates to the securities industry.
  • Familiarity with FINRA, SEC, and CFTC Rules and Regulations.
  • Bachelor’s degree required, Advanced or Law degree preferred. 

Please send your resume to Greg Breck