Securities Exam Lead

What you'll be doing: Leading the team responsible for managing the firms portfolio of regulatory examinations conducted by the SEC, FINRA, CBOE, and CME among others. Provide strategic guidance and advice, communications and regular updates to management regarding the significant matters being handled, including, but not limited to, the timely escalation and resolution of potential issues. Effectively partner with senior leaders from the applicable line of business, Compliance, legal, and internal audit. Prepare substantial written responses to regulatory requests and supervisory letters. These responses typically advocate on behalf of the firm and require the ability to apply the facts of each matter to the applicable laws or regulations at issue.

What your background should be: 12-15 years of legal and/or regulatory examination/investigation experience. Working knowledge of securities regulations. Strong relationship building skills. Ability to manage an exam calendar. Excellent communication skills, ability to build consensus. Proven track record of managing complex regulatory matters.

Who is the client company: This is an American multinational banking and financial services holding company.; If you are interested in this position, send your resume to apply@kochdavis.com