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Manages the group by assuring that work is produced at the expected level of quality and on a timely basis. Responsible for training and continuing education of staff. Provides assistance to the Vice President, Senior Director, Director and Assistant Director in substantive areas of federal securities regulation and development of Department policy and procedures.
Essential Job Functions:
Manages group productivity by balancing and adjusting assignments.
Assures quality and timeliness work products.
Conducts staff performance appraisals and second reviews of appraisals completed by Associate Managers and Associate Principal Analysts.
Communicates regulatory and administrative information to staff, answers questions from staff and external customers (including other Company employees and firms).
Coordinates regulatory issues with fellow managers.
Meets with compliance personnel of member firms, both on and off-site.
Informs Vice President, Senior Director, Director or Assistant Director of new issues and practices which may lead to policy changes.
Interviews, recruits, and provides new and ongoing training to all team members. Provides ongoing advice, coaching and mentoring to team members.
Determines appropriate disposition of investigations completed by self and staff.
Directly investigates complex cases involving Company firm communications received as a complaint or inquiry, including drafting of final disposition correspondence, occasional on-site examinations and, as necessary, participation in the disciplinary process (e.g., conduct conferences, provide expert testimony at hearings).
Reviews as needed, communications submitted by Company firms in the filing and spot check programs, provides written comments to firms on these submissions and answers firm’ questions regarding such comments.
Assists with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation.
Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings.
Other job related special projects as necessary.
Bachelor’s degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Manager or Principal Investigator or at least 3 years as an Associate Principal Analyst in the Advertising Regulation Department.
Academic courses or work experience showing successful use of analytic skills preferred.
Excellent demonstrated oral and written communication skills.
Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. In-depth knowledge of Company, SEC, MSRB and SIPC rules and interpretations governing advertising required.
Competency with desktop computers and Microsoft Word.
Work is normally performed in an office environment.
Occasional travel may be required. Some extended hours may be required.
To be considered for this position, please submit an application.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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