Regulatory Review Unit, Senior Associate

Role responsibilities include: Review and analyze customer complaints, arbitrations, civil litigation, regulatory actions, criminal matters, bankruptcies, judgments, liens, and terminations to determine reporting and disclosure obligations under Forms U4 and U5, FINRA Rule 4530, and state requirements. Evaluate written and oral customer communications to determine whether the communication constitutes a customer complaint and whether any reporting obligation applies under Forms U4 and U5, FINRA Rule 4530, and state requirements. Coordinate, prepare, review, and ensure the accurate and timely submission of required regulatory filings and amendments under Forms U4 and U5, FINRA Rule 4530, and state requirements; maintain appropriate documentation supporting regulatory reporting determinations. Prepare and submit quarterly customer complaint filings required under FINRA Rule 4530(d).Manage regulatory inquiries and examinations, including preparing and submitting responses to FINRA Rule 8210 requests, and coordinating related follow-up to ensure timely, accurate, complete, and consistent regulatory responses. Monitor deadlines for regulatory inquiry responses and for filings under Forms U4 and U5, FINRA Rule 4530, and state requirements; coordinate extension requests when appropriate and promptly escalate potential delays, deficiencies, or late filings. Work with business units, Operations, and the Office of General Counsel to obtain responsive documents and information in a timely manner. Provide guidance to business unit personnel, Agents, and Field Managers regarding internal reporting procedures, regulatory inquiries, and disclosure obligations under Forms U4 and U5, FINRA Rule 4530, and state requirements. Prepare and review reconciliation, management status, and control reports to confirm that all matters are handled completely, accurately, and on time. Serve as a resource to team members, review work product, and support training on reporting procedures. Identify regulatory issues, reporting deficiencies, and emerging risks; escalate significant matters and recommend process or control improvements.

Qualifications include: Bachelor's degree from an accredited college or university. Minimum of 5 years of securities regulatory reporting or compliance experience, including the evaluation of customer complaints, litigation, arbitration, and related regulatory disclosure obligations. Strong working knowledge of Forms U4 and U5, FINRA Rule 4530, and state requirements. Demonstrated ability to analyze complex facts, exercise sound judgment, and develop well-supported regulatory reporting recommendations. Strong investigative, organizational, and project management skills; ability to prioritize competing deadlines. Excellent interpersonal, communication, and relationship-building skills. Ability to work independently and to collaborate effectively with Compliance, the Office of General Counsel, business partners, and regulators. Ability to synthesize large volumes of complex information into clear, concise summaries for senior leadership. Attention to detail, professionalism, and appropriate handling of sensitive information. Familiarity with FINRA Gateway and CRD filing systems. Advanced proficiency in Microsoft Excel, Word, and PowerPoint.

Desired qualifications include: Experience at a broker-dealer, registered investment adviser, insurance company, or regulatory agency, with strong knowledge of federal securities laws and SEC and FINRA rules. Knowledge of life insurance and securities products, including mutual funds, 529 plans, and variable life and annuity products. Familiarity with broker-dealer compliance and field sales practice issues. Experience improving regulatory reporting procedures, reconciliations, and controls. J.D. or other relevant advanced degree. FINRA Series 7 and Series 24 registrations, or the ability to obtain them within 12 months of hire. Pay Transparency

Salary Range: $81,000-$115,500 Overtime eligible: Exempt