Regulatory Exam Manager
Jane StreetAbout the Role
We're looking for a Regulatory Exam Manager to join our Legal and Compliance team. In this role, you'll oversee the firm's response to regulatory examinations from start to finish, serving as a primary point of contact for regulators and coordinating colleagues across the firm to ensure responses are clear, accurate, and timely.
- Interpreting requests and establishing the scope, responsibilities, and timeline for each examination
- Drafting written submissions and preparing colleagues for meetings with examiners
- Reviewing relevant materials to identify areas for improvement or escalation
- Maintaining examination records and improving processes for managing examinations and related inquiries
Requirements
- 8+ years of relevant legal, compliance, or regulatory experience in financial services, with deep substantive involvement in regulatory examinations
- Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel
- An excellent writer who can turn complex information into precise, accessible responses
- A polished communicator who can build productive relationships with regulators and handle challenging conversations
- Knowledgeable about the US financial regulatory framework, with the good judgment to recognize when to seek guidance from a subject matter expert
- Highly organized and able to manage deadline-driven work involving contributors from across the firm
- Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this role)