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Regulatory Compliance Manager
Milwaukee, WI
Job Description
Role SummaryThe Regulatory Compliance Manager assists in the management of the day-to-day compliance functions, assists in the management of compliance and regulatory services for SEC and NY DFS regulated entity, reporting to the Chief Compliance Officer.Business FunctionEQ provides creative solutions for shareowner management. We offer a range of transfer agent services that enable our clients to manage share registers, communicate with shareowners and undertake significant corporate actions - simply and effectively. The Regulatory Compliance Manager develops and implements policies and procedures in response to regulatory mandates, works with minimal supervision and is responsible to independently make a broad range of critical decisions, escalating to senior management when appropriate.Core Duties/Responsibilities :* Supports regulated entity in regards to overall compliance by actively managing assigned duties.* Oversees the development, implementation and maintenance of procedures required to comply with the Securities Exchange Act of 1934, NY Banking Regulations, and other regulations as required.* Analyzes regulatory changes and prepares impact reports and works with business units to implement processes and procedures.* Stays current on industry developments and communicates developments to internal and external contacts.* Performs other duties as assigned by management.Skills, Capabilities and Attributes :* Possess at least 4 years compliance work experience in a regulated environment.* Demonstrated knowledge of securities regulation and processes.* Excellent verbal and written communication skills with ability to convey information to internal and external stakeholders in a clear, concise manner.* Demonstrated ability to effectively interact with all levels of staff and management.** Proficient in Microsoft Word, Excel, and PowerPoint.* Demonstrated ability to handle multiple competing duties and complete assigned tasks accurately and within prescribed deadlines.* Demonstrated experience working independently and on teams.* Strong attention to detail with excellent organization skills.* Proven analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions.Education Requirements* Bachelor's degree.* Advanced degree (MBA, JD) desirable.Equal Opportunity StatementWe are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.
Job Summary
Company
Equiniti
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
4+ years
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