Securities Regulatory Compliance Manager (SEC & FINRA)

Job Title: Manager (focus area: SEC & securities) Job Type: Full Time(in office 5 days/week) Location: Washington, D.C., right across the street from the White House Patomak Global Partners, LLC is a leading financial consulting firm that applies the insights of senior-level industry experts to advise clients on complex and cutting-edge strategy and compliance and risk management challenges in the regulatory space. Patomak was named one of the top consulting firms in fintech by Chambers & Partners. Patomak is looking for a mid-level professional at the Manager level to work on compliance and regulatory strategy issues for financial industry clients, particularly broker-dealers, investment advisers, private equity firms, fintech companies, and digital asset trading platforms. The Manager may also support expert witness engagements related to securities litigation as needed. What’s Great: Exceptional compensation and work culture. Fast-growing, mid-sized company with offices in Washington, D.C., and New York City. Great benefits, including 401(k) employer contribution, excellent health insurance offerings, and flexible PTO. Broad exposure and learning opportunities to support entrepreneurial growth. Professional team of coworkers who are experts in their fields. Overview of Job Duties: Participate and lead reviews assessing client compliance programs focusing on specific hot topics and regulatory requirements across registered entities and jurisdictions ( e.g., off-channel communications, trade surveillance, AML, best execution, disclosures, valuations, market access, supervision). Assist in the planning for reviews of broker-dealers, investment advisers, investment companies, and other financial entities. Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker-dealers, investment advisers, investment companies, and other financial entities. Draft and deliver written reports and agreed-upon deliverables to the client. Track industry developments, trends, and new and amended SEC and FINRA rules and regulations. Draft thought leadership on cutting-edge regulatory developments and financial market events in conjunction with the leading experts in the field. Assist in preparing reports and testimony for securities-related expert witness engagements. Collaborate with Directors, Senior Directors, and Managing Directors on business development activities and client relationship management. Qualifications: Bachelor’s degree required. Law degree preferred. 3-5 years regulatory or SRO experience ( e.g., SEC, FINRA) or private sector ( e . g., consulting firm, law firm, compliance department). Familiarity with crypto. Familiarity and experience with the application of rules and regulations pursuant to the Securities Exchange Act of 1934 and Investment Advisers Act. Relevant SEC, FINRA, or State Securities experience, and/or experience at a law firm working on securities matters or consulting firm is a plus. Skills & Abilities: Advanced writing and editing proficiency, with strong PowerPoint and Excel skills. Strong organizational, time management, and problem-solving skills. Ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations. Ability to manage multiple projects concurrently, meet deadlines, and deliver a quality product. Ability to work in a fast-paced individual and small team environment. Ability to establish, maintain, and grow effective working relationships with colleagues and clients. Highly motivated, goal- oriented , and proactive in one’s own education and career progression. “All-hands-on-deck” mentality befitting a collaborative work environment. Positive attitude and desire to learn. Salary Range: $100,000-$225,000 Salary will be commensurate with experience, and employee will be eligible for an annual performance bonus based on individual performance and firm performance. If interested, please fill out the form below. Patomak Global Partners, LLC is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation. Employment Application Name (Required) First Last Email (Required) Phone (Required) Address (Required) Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Position you are interested in: (Required) How did you hear about us? (Please include the person's name, website, etc.) (Required) Upload Files Accepted file types: pdf, doc, Max. file size: 10 MB. Upload Files Accepted file types: pdf, doc, Max. file size: 10 MB. Current job opportunities are posted as they become available. All applications are processed in the order they are received. If you do not see a position that fits your qualifications but want to be considered for future opportunities, submit your resume and cover letter on the “Future Opportunities Inquiry Form,” which can be found on the main “Careers at Patomak” page. Please indicate the type of role you are seeking when submitting your form. 750 17th Street NW, Suite 1000 Washington, D.C. 20006 View phone number on click.appcast.io New York 30 Rockefeller Plaza, Suite 2020 New York, NY 10112 View phone number on click.appcast.io #J-18808-Ljbffr Patomak Global Partners, LLC