Regulatory Exam Manager

Jane Street
New York, NY
On-site

Who this role is best for

Aimed at mid-level compliance professionals who have worked with regulators and possess strong writing and organizational skills.

Best fit for

  • Candidates with 8+ years of regulatory experience in financial services and direct interaction with SEC or FINRA
    — “Have worked directly with the SEC, FINRA, and other regulators”
  • Individuals with a background in managing cross-functional teams and tight deadlines
    — “Highly organized and able to manage deadline-driven work involving contributors from across the firm”

Things to consider

  • The role requires prior direct experience with regulatory exams, not just general compliance knowledge
    — “deep substantive involvement in regulatory examinations”
  • Candidates must be prepared to build and maintain relationships with regulators, which may involve sensitive or high-stakes interactions
    — “build productive relationships with regulators and handle challenging conversations”

How to stand out

  • Highlight past experience managing end-to-end regulatory exams in your resume or interview responses
    — “oversee our response to regulatory examinations from start to finish”
  • Emphasize instances where you coordinated multiple teams or departments to meet deadlines
    — “coordinate colleagues across the firm to ensure our responses are clear, accurate, timely”
  • Showcase your ability to simplify complex regulatory topics in writing or presentations
    — “An excellent writer who can turn complex information into precise, accessible responses”
  • Demonstrate your track record of identifying areas for improvement or escalation in compliance processes
    — “Reviewing relevant materials to identify areas for improvement or escalation”
Pace · SteadyCollaboration · HighAutonomy · MediumDecision Impact · TeamLevel · Senior

Derived from job-description analysis by Serendipath's career intelligence engine.

What success looks like

  • managed multiple regulatory examinations
  • improved regulatory relationships
Typical background
8+ years in legal or compliance rolesexperience with financial services regulations

Skills & requirements

Required

Regulatory ComplianceLegal AnalysisCommunication

Preferred

SEC RegulationsFinra Regulations

Stack & domain

LegalComplianceRegulatory ExaminationsCommunicationLeadershipFinance

About the role

Original posting from Jane Street

About the position

We’re looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you’ll oversee our response to regulatory examinations from start to finish.

You’ll serve as a primary point of contact for regulators and coordinate colleagues across the firm to ensure our responses are clear, accurate, timely, and support constructive regulatory relationships. Additional responsibilities of this role will include:

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 the processes we use to manage examinations and related inquiries

About you

Have 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)

If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com

Source: Jane Street careers

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