Manager/Director (Securities)

Patomak Global Partners, LLC; United States; On-site; USD 150,000 - 275,000; Full time

Benefits offered by this job

Exceptional compensation

401(k) employer contribution

Excellent health insurance offerings

Flexible PTO

Broad exposure and learning opportunities

Job summary

A leading financial consulting firm is looking for a Manager/Director in Washington, D.C. This role involves providing expert analysis on financial regulatory issues for clients in the securities industry. Candidates should have a Bachelor's degree and 3-10 years of relevant experience. The position offers exceptional compensation and benefits, and opportunities for professional growth in a dynamic environment. Salary range is $150,000 to $275,000, commensurate with experience.

Qualifications

• 3-10 years of experience in financial regulatory, policy, digital assets, or government service.
• Experience with the application of rules and regulations pursuant to the U.S. Securities laws.
• Relevant SEC, FINRA, or State Securities experience.

Responsibilities

• Provide expert analysis on federal securities law requirements.
• Draft and deliver written reports to the client.
• Track industry developments and regulations on digital assets.

Skills

Advanced writing and editing proficiency

Strong organizational skills

Time management

Problem-solving skills

Strong PowerPoint skills

Strong Excel skills

Education

Bachelor's degree

Law degree

Job description

Job Title: Manager/Director (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 seeking a mid-level professional at the Manager/Director level to work on regulatory strategy and advisory, risk and compliance issues for financial industry clients, particularly broker-dealers, investment advisers, private equity firms, fintech companies, and digital asset trading platforms. This role may also support expert witness engagements.

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:

• Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker-dealers, investment advisers, investment companies, exchanges, and corporate issuers.
• Draft and deliver written reports and agreed-upon deliverables to the client.
• Track industry and market developments, trends, and new and amended SEC and FINRA rules and regulations, particularly in the area of digital assets.
• Draft thought leadership on cutting-edge regulatory developments and financial market events in conjunction with the leading experts in the field.
• Support and lead reviews assessing client risk and 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 preparing reports and testimony for securities-related expert witness engagements.
• Support, and ultimately lead, projects and business development efforts with prospective clients.

Qualifications:

• Bachelor’s degree required; Law degree strongly preferred.
• 3-10 years of experience in financial regulatory, policy, digital assets, or government service.
• Experience with the application of rules and regulations pursuant to the U.S. Securities laws.
• Relevant SEC, FINRA, or State Securities experience, and/or experience at a law firm, consulting firm, or government relations firm. Experience working on the Senate Banking Committee or House Financial Services Committee 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 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:

$150,000-$275,000

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.