Regulatory Affairs Specialist

Job Title: Regulatory Affairs Specialist

Job Summary: We are seeking a meticulous and knowledgeable Regulatory Affairs Specialist to join our compliance team within the finance industry. The Regulatory Affairs Specialist will be responsible for interpreting and implementing regulatory requirements, ensuring adherence to compliance standards, and supporting the organization in maintaining regulatory compliance across all facets of operations. This role requires a deep understanding of financial regulations, excellent analytical skills, and the ability to collaborate effectively with internal teams and regulatory authorities.

Responsibilities

• Stay updated on regulatory developments, guidelines, and requirements applicable to the finance industry, including but not limited to securities regulations, banking laws, and anti-money laundering (AML) regulations.
• Interpret and communicate regulatory requirements to relevant stakeholders within the organization, including compliance officers, legal teams, and senior management.
• Conduct regulatory assessments and gap analyses to identify areas of non-compliance or potential risks and recommend appropriate remedial actions.
• Assist in the development, implementation, and maintenance of compliance policies, procedures, and controls to ensure adherence to regulatory standards.
• Prepare and submit regulatory filings, reports, and disclosures accurately and in a timely manner as required by regulatory authorities.
• Coordinate regulatory audits and examinations, including preparing documentation and facilitating interactions with auditors and examiners.
• Provide guidance and training to employees on regulatory compliance matters, including conducting compliance training programs and workshops.
• Monitor and assess the effectiveness of compliance programs and controls, identifying areas for improvement and implementing corrective actions as necessary.
• Serve as a point of contact for regulatory inquiries and investigations, collaborating with legal counsel as needed to address regulatory issues and inquiries.
  
  

Skills Required

• Deep knowledge of financial regulations and compliance requirements relevant to the finance industry (e.g., SEC regulations, FINRA rules, AML/KYC requirements).
• Strong analytical skills with the ability to interpret regulatory guidelines and apply them to business operations effectively.
• Excellent communication and interpersonal skills, with the ability to communicate complex regulatory concepts clearly and concisely.
• Detail-oriented approach with strong organizational skills and the ability to manage multiple projects simultaneously.
• Ability to work collaboratively with cross-functional teams and external stakeholders, including regulatory agencies and auditors.
• Proficiency in conducting regulatory research, analysis, and documentation using relevant tools and resources.
  
  

Compensation: Compensation for this full-time position will be competitive and commensurate with experience and qualifications. Benefits package includes health insurance, retirement savings plan, paid time off, and opportunities for professional development.

Education And Experience

• Bachelor’s degree in Finance, Business Administration, Law, or a related field is required. A Master’s degree or professional certification (e.g., Certified Regulatory Compliance Manager) is preferred.
• Minimum of 3-5 years of experience in regulatory affairs, compliance management, or a related field within the finance industry.