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Compliance Regulatory Senior Associate- Tampa Fl

  • Job type: Permanent
  • Location: Tampa
  • Salary: Competitive
  • Job reference: jo050418
  • Sector: Banking and Finance, Selby Jennings, Compliance, Investment banking
  • Date posted: 04/05/2018
Position Summary:
As one of the leading settlement service firms, that provides end-of-day net settlement obligations for clients resulting from trading activity in equities, debt and money market instruments, in the United States, is in search of a Compliance Regulatory Senior Associate to join a team of compliance professionals in the firm’s Tampa, Florida office.

As a Compliance Regulatory Senior Associate the main focus of this role is to monitor changes in the regulatory environment that may impact businesses and to analyze and assess the impact of existing and proposed regulations on those businesses The Compliance Regulatory Senior Associate plays a crucial part in the Compliance Governance and Controls team and is responsible for a vital part of ensuring compliance with applicable laws and regulations as they relate to all businesses and functions

Responsibilities of the Compliance Regulatory Senior Associate:
  • Under supervision, tracks and monitors proposed and recent changes to laws, regulations, and guidance 
  • Disseminates relevant industry news and information to internal stakeholders 
  • Coordinates with stakeholders to monitor the implementation of process enhancements and control changes required to comply with regulatory changes and prepares senior management dashboards 
  • Analyzes control deficiency and operational incident data to identify risks associated with regulations 
  • Maintains the lists of applicable regulatory requirements and commitments 
  • Develops and maintains awareness of regulatory requirements 
  • Assists with internal program assessments when required 

Leadership Competencies for this level include:
  • Accountability: Demonstrates reliability by taking necessary actions to continuously meet required deadlines and goals.
  • Global Collaboration: Applies global perspective when working within a team by being aware of own style and ensuring all relevant parties are involved in key team tasks and decisions.
  • Communication: Articulates information clearly and presents information effectively and confidently when working with others.
  • Influencing: Convinces others by making a strong case, bringing others along to their viewpoint; maintains strong, trusting relationships while at the same time is comfortable challenging ideas.
  • Innovation and Creativity: Thinks boldly and out of the box, generates new ideas and processes, and confidently pursues challenges as new avenues of opportunity.
Qualifications of the Regulatory Change Management Senior Associate:
  • Minimum of 5 years of related experience with a minimum of 3 years in a compliance or legal role required
  • Demonstrated experience analyzing financial services industry regulations required
  • Bachelor's degree required; J.D. preferred
  • Strong proficiency in PC based applications including Excel, SharePoint, Word, and PowerPoint
  • Ideal candidates will also evidence demonstrated project management experience and working in a fast-paced environment
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