La banque d'un monde qui change

Analyst - Regulatory Examinations Specialist

Type de contrat

Standard / Permanent


US-NY-New York

Métier / fonction




Responsible for providing support to the Regulatory Specialists, who are responsible for managing regulatory meetings, exams and requests. Essential duties and responsibilities include:
  • Regulatory Exams
    • Processing and creation of First Day letter (FDL) matrixes using Excel along with the creation of Supplemental Request matrixes.
    • Collection of and tracking of document requests, documents and information submitted to exam staff before, during, and after on-site review, performing quality control over all submissions.
    • Scheduling of all meetings between Team, examination staff and key Firm personnel, which includes all logistical tasks.
    • Assist the Team with the drafting of Response letters. Coordinate with relevant personnel after the completion of an examination to respond to findings/close-out letters.
  • Continuous Monitoring Meetings
    • Tracking of document requests and follow-up items
    • Drafting of key points from meetings


  • BA or BS required, JD preferred
  • 2 – 4 years of relevant industry experience
  • A High level of detail orientation and organization.
  • Proficient in Excel, PowerPoint and SharePoint
  • Excellent communication skills, including oral and written.
  • Project management skills, with the ability to work on multiple tasks with competing priorities at once and successfully managing all to completion.

FINRA Registration:

  • Not Applicable