Job Description
What is the opportunity?
US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self‑regulatory organizations and the SEC. The individual in this role is primarily responsible for day‑to‑day operational execution to broader planning within the area of expertise. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct “ownership” of functions. Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. Additionally, the individual will utilize subject matter expertise while representing the department or function at a broader level. Additional responsibilities may include performing user testing for existing process enhancements, documenting new procedures rela...