Americas Market Conduct Non-Officer Director
$95,000–$95,000 year
On-siteDallas, Texas, United States
Job Summary
Coordinate regulatory exams, risk surveys, and continuous monitoring activities for the Americas Market Conduct Regulatory Relations Group, managing concurrent interactions with the SEC, CFTC, FINRA, and state regulators. Execute front-to-back oversight of document requests, meetings, and remediation plans while advising senior management on regulatory responses and maintaining detailed status tracking of open issues. Prepare internal stakeholders for regulatory engagements and foster proactive relationships with supervisory counterparts using Teams, AI, and OpenPages to enable process improvement. Provide ad-hoc support across regional initiatives and ensure timely, accurate responses to regulatory inquiries.
Required Qualifications
- At least 5 years' experience supporting regulatory examinations, continuous monitoring, or issue remediation or experience with a regulatory organization such as the SEC, FINRA, CFTC, NFA
- Ability to quickly learn key concepts, remain flexible, and adapt to shifting priorities
- Ability to work in a fast-paced environment and manage multiple workstreams concurrently
- Strong written and verbal communication, presentation, and interpersonal skills
- Demonstrated ability to collaborate in a team environment and work effectively with senior management and cross-functional stakeholders
- Strong quantitative and qualitative analytical skills, with the ability to synthesize information into clear summaries
- Excellent attention to detail and end-to-end ownership of deliverables
- Strong planning and organizational skills; ability to manage timelines, dependencies, and documentation
- Proficiency with Microsoft Office tools (Word, Excel, PowerPoint, Visio) and collaboration/content platforms (Teams, Zoom, SharePoint)
- Working knowledge of AI tools and an interest in applying automation to improve reporting, documentation, and process execution
- Demonstrated ability to work effectively with regulators
- Strong relationship management skills
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