Vice President, Regulatory Liaison

Vice President, Regulatory Liaison About the Company Astute legal firm

Industry
Financial Services

Type
Privately Held, Private Equity-backed

Founded
1936


Employees
1001-5000



Categories FinanceInvestment BankingFinancial ServicesNon Profit About the Role The Company is seeking a Vice President for the Office of Regulatory Liaison (ORL) within Member Supervision. The successful candidate will be responsible for leading and strengthening the ORL, serving as the primary liaison for executive leadership with external regulators such as the SEC, and proactively identifying regulatory trends that may pose a risk to investors and the market. This role requires the VP to build and maintain strong relationships with regulators, provide strategic advice on emerging regulatory issues, and manage timely and effective responses to regulatory inquiries. The VP will also oversee a team and work closely with various departments to ensure a cohesive and efficient approach to regulatory interactions.

Candidates for this position should have a Bachelor's degree in a relevant field, with advanced degrees or industry certifications preferred. Significant experience in securities, compliance, or financial regulation is required, along with a proven track record of managing complex projects and leading teams. The role demands expert knowledge of FINRA, SEC, and SRO rules, as well as the ability to recognize and understand the impact of regulatory areas. Strong communication, interpersonal, and leadership skills are essential, as is the ability to make autonomous, timely decisions. The VP will be expected to work in a hybrid environment and may be required to travel.

Hiring Manager Title
Senior Vice President



Travel Percent
Less than 10%

Functions FinanceOperations