Regulatory Programs Coordinator

Responsibilities

• Coordinate the scoping, planning and deployment of multiple projects of varying size
• Respond to and manage issues and risks for multiple projects throughout the project lifecycle
• Manage projects to deadlines and guide the team to ensure timely completion
• Coordinate with Internal Audit, Compliance and Operational Risk on key control programs
• Ensure departmental policies and procedures are comprehensively updated in a timely manner
• Assist in the preparation of governance materials
• Assist in the strategic design of departmental workflows and staffing resources
• Lead business continuity / resiliency efforts
• Coordinate with vendors and suppliers as needed

• Bachelor’s Degree in Finance, Accounting, or related field required
• Familiarity with SEC and FINRA reporting obligations, as well as a broad understanding of brokerage products
• Strategic thinker who can take an end-to-end view of a process and improve upon it
• Experience with various software tools (e.g. Snowflake, SQL, Excel, and PowerPoint)
• Excellent written and verbal communications skills
• Demonstrated ability to work in a fast-paced, deadline driven organization
• Self-motivated individual that will bring energy, enthusiasm, and intellectual curiosity to the role
• Excellent problem-solving skills
• Ability to manage and prioritize multiple detailed processes in a time sensitive environment.

• project management
• risk management
• governance
• process improvement
• financial analysis
• SEC reporting
• FINRA reporting
• brokerage products
• SQL
• Excel

• strategic thinking
• communication
• problem-solving
• self-motivation
• time management
• team leadership
• organizational skills
• adaptability
• attention to detail
• energy and enthusiasm