Regulatory Response Analyst

About the Role

We are seeking a diligent and analytical Regulatory Response Analyst to join our Regulatory Liaison Group. Reporting directly to the Head of the Regulatory Liaison Group, you will serve as a crucial line of defense and a primary facilitator during regulatory examinations and inquiries.

The ideal candidate will bring the subject matter expertise of a junior SEC Broker-Dealer or FINRA Market Regulation or Member Supervision Examiner. This role requires an understanding of Financial Operations (FinOp), Sales Practice, and Market Regulations to effectively manage, analyze, and respond to complex regulatory inquiries and formal examinations.

What You'll Do

• Assist the team for SEC, FINRA, and state regulatory inquiries, examinations, and sweep letters, including the gathering, review, and synthesis of requested documentation before submission.
• Produce clear, concise, and fact-based narrative responses to regulatory requests, ensuring accurate representation of the firm's policies, procedures, and data.
• Partner with finance and accounting teams to review and validate materials related to Net Capital (SEA Rule 15c3-1), Customer Protection (SEA Rule 15c3-3), margin requirements, and FOCUS reporting.
• Analyze firm data to address inquiries related to Anti-Money Laundering (AML/BSA).
• Prepare the firm's response to FINRA and SEC inquiries by conducting data-driven internal investigations into complex order lifecycles, utilizing tools like Nasdaq SMARTS and Databricks to detect, analyze, or refute allegations of market abuse (e.g., spoofing, layering).
• Proactively identify potential compliance vulnerabilities or control gaps during the document gathering process and recommend actionable remediation steps to management.
• Work closely with the Trading, Operations, and Legal teams to interview subject matter experts within the firm to translate complex business practices into understandable regulatory responses.

What You Bring

• 2-3 years of direct experience in broker-dealer compliance, audit, or regulatory examination. Experience as an SEC Broker-Dealer Examiner or FINRA Member Supervision or Market Regulation Examiner (or directly supporting them internally) is highly preferred.
• Demonstrated working knowledge of both FinOp (net capital, books and records), Sales Practice (supervision, AML), and Market Regulations.
• Strong ability to analyze large data sets, trade blotters, and financial ledgers to identify anomalies or confirm regulatory adherence.
• Exceptional business writing and verbal communication skills. You must be able to distill complex financial and operational concepts into clear and accurate regulatory responses.
• Proven ability to manage multiple strict, non-negotiable regulatory deadlines simultaneously without sacrificing accuracy.
• Bachelor's degree in Finance, Accounting, Economics, or a related field

Nice To Have, But Not Required

• FINRA Series 7, 24, 27, or 99 licenses preferred
• Familiarity with regulatory portals (e.g., FINRA Gateway) and data management systems.

Applicants must be authorized to work for any employer in the U.S. DriveWealth is unable to sponsor an employment Visa at this time.