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Analyst - Regulatory Examinations Specialist

Type de contrat

Standard / Permanent


US-NY-New York

Métier / fonction




Responsible for providing support to the Regulatory Examinations Specialists, who are responsible for managing regulatory exams. Essential duties and responsibilities include:
  • 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.

  • 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