Head of Regulatory Affairs
: Job Details :

Our client, a top-tier management consulting firm, is seeking a seasoned Head of Regulatory Affairs to serve as a key liaison with major regulatory agencies and lead regulatory submission strategies across the organization. The ideal candidate will bring deep expertise in regulatory interactions, particularly within the investment advisory (RIA) space, and possess exceptional communication and project management skills. Requirements and Qualifications: • Serve as the primary point of contact with regulatory bodies including the SEC, CFTC, NFA, and OCC. • Lead and manage the preparation, submission, and follow-up of regulatory filings. • Develop and execute effective regulatory submission strategies. • Collaborate cross-functionally to gather and synthesize data for accurate, timely filings. • Maintain up-to-date knowledge of relevant regulatory changes and ensure organizational compliance. • Deliver clear, confident presentations to internal and external stakeholders. • Strong background in investment advisor/RIA regulatory matters. • Demonstrated success managing complex regulatory interactions and submissions. • Highly detail-oriented with excellent organizational and project management capabilities. • Strong verbal and written communication skills; able to present effectively at all levels