Software Guidance & Assistance, Inc., (SGA), is searching for a Regulatory Compliance Associate for a CONTRACT assignment with one of our premier Regulatory clients in New York, NY .
Professional position responsible for supporting important regulatory compliance functions on the Regulatory Compliance Team in the Regulatory Operations (RegOps) Unified Services - Regulatory Support Group. The individual will work independently on assigned tasks and projects, contributing directly to the team's ability to fulfill its compliance obligations and support the firm's mission of investor protection and market integrity. Responsibilities may include, but are not limited to, the functions described below.
Responsibilities :
- Policy & Procedure Management - Serves as the designated Document Owner for RegOps policies and procedures, ensuring department-wide documentation is accurate, current, and consistently maintained. Responsibilities include drafting and publishing updates, coordinating stakeholder input and approval, conducting periodic reviews, and assessing the impact of organizational changes. Also supports regulatory and stakeholder requests requiring careful retrieval, review, and handling of policy materials.
- Bank Secrecy Act (BSA) Program Management & Oversight - Supports the administration and oversight of the BSA program, a highly regulated and important compliance function. Responsibilities include participant onboarding and training, helping to resolve staff inquires, compliance monitoring, and auditing activities. Requires the ability to handle sensitive information with discretion and a commitment to maintaining program integrity.
- Conflict of Interest (COI) Policy Liaison Support - Plays a key role in upholding the integrity of FINRA's enterprise-wide COI program in close coordination with RegOps staff and the Ethics Office. Responsibilities include reviewing conflict alerts, researching potential conflicts, advising staff on COI policies and procedures, and assisting with the drafting of conflict memoranda. Strong judgment, discretion, and precise written communication are essential.
- SEC Reporting Request Coordination - Supports the timely and accurate compilation of materials responsive to SEC Periodic and Regular Reporting requests, requiring strong organizational skills, attention to detail, and sound judgment in the handling and review of responsive materials.
- Additional Regulatory Compliance Support - Provides broad support across the Regulatory Compliance team, including research and analysis, meeting preparation, audit tracking, and process improvement initiatives. The ability to adapt across multiple functions and consistently deliver quality work is essential.
Required Skills :
- Bachelor's degree or equivalent experience in business, finance, law, public policy, or a related field.
- Strong oral and written communication skills, including the ability to draft, edit, and present information clearly and precisely.
- Strong organizational skills and attention to detail, with the ability to manage multiple assignments concurrently and deliver quality work under tight deadlines.
- Strong interpersonal skills, with the ability to collaborate effectively with diverse stakeholders and work independently.
- Proficiency with standard office and document management tools.
- Demonstrates firm values and collaborates, both in-person and virtually, in furtherance of firm mission of investor protection and market integrity.
Preferred Skills :
- Prior experience in regulatory compliance or financial services, with working knowledge of the securities industry and relevant regulatory frameworks, strongly preferred.
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SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .
SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.
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