Job Description
Your role
Are you incredibly organized with an eye for detail Do you know how to take care of business
Support Electronic Blue Sheets (EBS) production and regulatory inquiries from external regulators—primarily FINRA, SEC, and NYSE. This role is a key part of our regulatory operations function.
Prepare, review, and submit Electronic Blue Sheets (EBS) in response to FINRA and other regulatory inquiries
Analyze EBS requests to ensure accuracy, completeness, and regulatory compliance
Escalate gaps or inconsistencies to Onshore support, promptly
Assist internal stakeholders (Compliance, Trading, IT, Clearing) in gathering required information for regulatory responses
Track, manage, and meet regulatory deadlines for EBS submissions and follow-up requests
Maintain documentation of processes, procedures, and correspondence
Assist with regulatory exams, audits, and ongoing supervisory requests, as...
Are you incredibly organized with an eye for detail Do you know how to take care of business
Support Electronic Blue Sheets (EBS) production and regulatory inquiries from external regulators—primarily FINRA, SEC, and NYSE. This role is a key part of our regulatory operations function.
Prepare, review, and submit Electronic Blue Sheets (EBS) in response to FINRA and other regulatory inquiries
Analyze EBS requests to ensure accuracy, completeness, and regulatory compliance
Escalate gaps or inconsistencies to Onshore support, promptly
Assist internal stakeholders (Compliance, Trading, IT, Clearing) in gathering required information for regulatory responses
Track, manage, and meet regulatory deadlines for EBS submissions and follow-up requests
Maintain documentation of processes, procedures, and correspondence
Assist with regulatory exams, audits, and ongoing supervisory requests, as...
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