Regulatory Advisor – Compliance & Insights

• Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).

• Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).

• Summarize regulatory updates into concise, actionable insights for stakeholders.

• Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.

• Support workflow execution, tracking, and status visibility across regulatory change activities.

• Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.

• Support reporting and metrics to improve enterprise visibility into regulatory change.

• Identify trends and themes in regulatory developments and escalate as appropriate.

Requirements

• Bachelor’s degree or equivalent, with 3–5 years of relevant experience.
• Familiarity with SEC, FINRA, or similar regulatory frameworks, including rules, guidance, enforcement actions, and exam activity.
• Experience maintaining structured data, inventories, or records.
• Experience supporting regulatory monitoring, intake, or triage activities in a financial services or regulated environment.
• Experience with compliance processes or GRC platforms (e.g., Archer) is a plus.
• Ability to assess applicability and document clear, structured disposition decisions.
• Strong analytical and organizational skills with attention to detail.
• Ability to translate complex regulatory information into clear, actionable summaries.
• Strong collaboration skills in a matrixed environment.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities and deliver high-quality work.

🔍 ATS Optimization Keywords
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Hard Skills

• regulatory intake
• triage rules
• regulatory updates
• data accuracy
• structured data
• regulatory monitoring
• compliance processes
• disposition decisions
• metrics reporting
• impact assessments

Soft Skills

• analytical skills
• organizational skills
• attention to detail
• collaboration skills
• written communication
• verbal communication
• ability to manage priorities
• ability to translate information
• actionable insights
• coordination skills