Regulatory Response Analyst

Drivewealth

New York, United States
New york, ny (hybrid) pyy range: $120,000—$140,000...
On-site
Sec and finra regulatory inquiries
Financial operations (finop) knowledge
Sales practice and market regulations
DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence around the world

Job Summary

  • DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence around the world.
  • The Regulatory Response Analyst will assist with SEC, FINRA, and state regulatory inquiries, examinations, and sweep letters, gathering and synthesizing requested documentation.
  • The company offers competitive compensation, equity, 401(k) match, full insurance coverage, wellness reimbursement, and generous PTO.

Matching Summary

DriveWealth is a global B2B financial technology organization dedicated to democratizing access to financial independence around the world.

Salary

New York, NY (Hybrid) Pay Range: $120,000—$140,000 USD

Skills & Requirements

Must-have

  • SEC and FINRA regulatory inquiries
  • Financial Operations (FinOp) knowledge
  • Sales Practice and Market Regulations
  • Analyze large data sets and financial ledgers
  • Manage strict regulatory deadlines
  • Produce clear regulatory responses

Nice-to-have

  • AI curious talent
  • Institutional-grade execution
  • Creativity and experimentation
  • Proactive problem-solving

Key Requirements

  • 2-3 years broker-dealer compliance/audit/examination experience
  • SEC Broker-Dealer Examiner or FINRA Examiner experience preferred
  • Working knowledge of FinOp, Sales Practice, and Market Regulations
  • Ability to analyze large data sets
  • Exceptional business writing and verbal communication
  • Bachelor’s degree in Finance, Accounting, Economics, or related field

Work Rights

Authorized to work for any employer in the U.S.

Tailored Resume

Cover Letter