Regulatory Correspondence Manager

5 – 10+ years of experience in AML compliance, market regulation, or investment management compliance. Prior securities or commodities regulatory experience at the federal, state, or SRO level is strongly preferred
2+ years of management experience
Solid academic background – Bachelor’s degree or equivalent military experience
Ability to work independently in a small team environment and manage competing priorities
Ability to clearly and concisely express complex financial concepts
A high degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
Outstanding leadership, communication, analytical, and project management skills
Willingness and ability to promptly obtain financial registrations or certifications. Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred

Oversee, train, and develop a team of analysts responsible for reviewing regulatory requests from federal and state securities regulators, self-regulatory organizations (SROs), and law enforcement agencies
Conducting investigations to determine whether a suspicious activity report (SAR) filing or other appropriate compliance action is warranted
Escalating other red flags to senior management for appropriate action
Monitor and manage daily workflow, controls, and performance metrics while ensuring the timely completion of tasks
Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work
Conduct supervisory reviews and provide constructive coaching and direction to team members
Constantly assess the firm’s operational and regulatory risk and recommend process enhancements where appropriate