14 Regulatory Specialist Jobs in New York, NY
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Mission Staffing is Hiring a Regulatory Specialist Near New York, NY
Our client, a well-known Broker Dealer in Midtown, NY, is looking for a Regulatory Compliance Analyst to assist with new employee NFA, SEC, and CFTC registrations. This person will be responsible for new employee registrations to ensure SEC and NFA compliance, maintaining adherence to new and existing compliance policies, and assisting the Compliance Manager with regulatory exams and internal audits. The ideal candidate with come with 2-5 years of new employee SEC and NFA registrations, a strong understanding of existing and upcoming regulatory registration guidelines, and the ability to work independently.
Responsibilities Include:
- Overseeing new employee registrations with respect to SEC, NFA, and CFTC regulatory guidelines
- Constant management and adherence to the firm's new and existing compliance policies and procedures
- Assisting with internal audits and regulatory exams
Requirements:
- 2-5 years of NFA and SEC new employee registration experience
- Strong understanding of new and existing SEC, NFA, and CFTC regulatory guidelines
- Exceptional written and verbal communication skills
Job Summary
Full Time
IT Outsourcing & Consulting
$73k-93k (estimate)
08/25/2024
08/28/2024
missionstaffing.com
SAN FRANCISCO, CA
100 - 200
2003
Private
YOKO AOYAMA
$10M - $50M
IT Outsourcing & Consulting
Related Companies
About Mission Staffing
Mission is an executive search firm that provides consulting and professional placement services.
The job skills required for Regulatory Specialist include Regulatory Compliance, Verbal Communication, etc. Having related job skills and expertise will give you an advantage when applying to be a Regulatory Specialist. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Regulatory Specialist. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Regulatory Specialist positions, which can be used as a reference in future career path planning. As a Regulatory Specialist, it can be promoted into senior positions as a Regulatory Affairs Specialist III that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Regulatory Specialist. You can explore the career advancement for a Regulatory Specialist below and select your interested title to get hiring information.
If you are interested in becoming a Regulatory Specialist, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Regulatory Specialist for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Regulatory Specialist job description and responsibilities
The regulatory specialist creates and maintains regulations for testing processes, the development phase, how production operates and the marketing and distribution for new products.
04/06/2022: Wilmington, NC
Coordinate and document internal regulatory processes, such as internal audits, inspections, license renewals, or registrations.
04/13/2022: San Antonio, TX
Certified regulatory affairs specialists typically collect and review marketing, legal, regulatory and licensing documentation, case files, studies, reports, etc.
02/13/2022: Manchester, NH
Responsible for filing necessary applications and handling all government interactions pertaining to the regulation process for products requiring governmental approval.
02/10/2022: Santa Fe, NM
works to help a company or organization meet all state, local, federal, international, and industrial regulations that apply to their products.
04/11/2022: Baton Rouge, LA
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Regulatory Specialist jobs
Entry-level regulatory affairs professionals must have a bachelor’s degree.
02/23/2022: Chico, CA
Successful regulatory specialists are excellent writers, as they must write details and accurate reports for the evaluations they perform.
02/24/2022: Newport News, VA
Earn Regulatory Affairs Professionals Society certifications.
03/14/2022: Saint Paul, MN
On successful completion of the program, graduates can take up roles such as regulatory affairs specialists.
03/19/2022: Ann Arbor, MI
At conferences and forums, specialists develop their existing knowledge and learn about emerging regulations, standards, and guidance documents.
04/28/2022: Lowell, MA
Step 3: View the best colleges and universities for Regulatory Specialist.
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