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Specialist-Regulatory Services
North American Securities Administrators Association
Details
Posted: 01-May-23
Location: D.C.
Type: Full Time
Categories:
Other
Required Education:
4 Year Degree
Additional Information:
Telecommuting is allowed.
Internal Number: 120
Specialist, Regulatory Services
The North American Securities Administrators Association (NASAA) is a prominent Washington, DC non-profit association devoted to supporting the work of its 67 members, which include the securities regulatory agencies from the 50 U.S. states, Puerto Rico, the U.S. Virgin Islands, the District of Columbia, Canada and Mexico.
Summary of position: The Specialist for Regulatory Services will support NASAA’s Senior Manager for Regulatory Services in the development and operations of program and systems designed to support state securities regulators in carrying out certain regulatory responsibilities. These programs and systems include: the Central Registration Depository (CRD) and the Investment Adviser Registration Depository (IARD); NASAA’s qualifications examinations (the Series 63, 65, and 66); NASAA’s Electronic Examination Modules system (NEMO); and the Investment Adviser Representative Continuing Education system (IAR CE) (collectively, the Regulatory Systems).
The successful candidate will be highly motivated, have a positive attitude, a commitment to excellence and possess strong organization and communication skills. The position also requires the ability to multi-task, maintain confidentiality, coordinate concurrent workflows, and function well individually or as a team player. The position reports to the Senior Manager for Regulatory Services.
The position is based in the Washington, DC Corporate Office, which maintains a hybrid work schedule providing certain employees with up to three days of remote work per week. This position offers a competitive compensation package, including medical and dental benefits, disability and life insurance, and retirement fund options.
Responsibilities and Duties
- Provide ongoing support to the Senior Manager for Regulatory Services primarily in managing administrative duties related to the use of the CRD and IARD systems, including processing records disposition requests from initiation through final disposition.
- Coordinate meetings of the committees for which the Senior Manager provides support including, but not limited to, the CRD/IARD Steering Committee, the CRD/IARD Forms and Process Committees, the Exams Advisory Committee, the Investment Adviser Representative Continuing Education Committee, and the NEMO Training and Support Committee.
- Assist the Senior Manager for Regulatory Services in ongoing operations of the Investment Adviser Representative Continuing Education program, including course development, tracking and related functions.
- Respond to inquiries from NASAA members, staff, and other stakeholders regarding the Regulatory Systems.
- Respond to inquiries and correspondence from candidates and other stakeholders regarding Series 63, 65 and 66 examinations.
- Support NASAA on other compliance and regulatory initiatives, as needed.
- Perform other duties as may be assigned.
Qualifications
- Bachelor’s degree required.
- A minimum three years of relevant work experience. Experience with a state securities regulatory agency, a federal regulator, a self-regulatory organization, or the securities industry is a plus.
- Experience summarizing materials and preparing reports preferred.
- Highly proficient in the use of Microsoft Office products, including Word, Outlook, Excel, and PowerPoint.
- Excellent organizational, oral, and written communication skills.
- A strong attention to detail and adaptability to varied work assignments.
- A demonstrated ability to manage multiple assignments, including deadline-driven assignments and medium to high email correspondence volume.
- A positive attitude and the ability to work as a team member.
- A strong interest in investor protection and securities regulation.
NASAA is an equal opportunity employer and does not discriminate in hiring or employment on the basis of race, color, religion, national origin, citizenship status, age, disability, sex, veteran status or any other characteristic protected by applicable federal, state or local laws, regulations or ordinances. NASAA is committed to diversity in the workplace and promotes a drug-free environment.
About North American Securities Administrators Association
A prominent Washington D.C. association devoted to supporting the work of state and provincial securities regulators.
https://careers.gsae.org/jobs/18511588/specialist-regulatory-services
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