Regulatory Exam Manager

Socket.dev; New York (NY); On-site; USD 140,000 - 190,000; Full time

Job summary

Socket.dev is seeking a Regulatory Exam Manager in New York to oversee examinations from start to finish, acting as the primary contact for regulators and coordinating colleagues across the firm to ensure timely, accurate responses and constructive regulatory relationships.

You will draft submissions, prepare teams for examiner meetings, review materials for improvements, and maintain examination records while enhancing processes used to manage inquiries.

Qualifications

• 8+ years of legal/compliance/regulatory experience in financial services.
• Direct experience with the SEC, FINRA, regulators at banks or broker-dealers or advised broker-dealer clients.
• Excellent writing; able to turn complex information into precise responses.
• Strong communication with regulators and cross-functional teams.
• Knowledgeable about US financial regulatory framework with good judgment to seek guidance when needed.
• Highly organized with deadline-driven, cross-firm collaboration.
• Bachelor's degree (JD a plus, not acting as a lawyer in this role).

Responsibilities

• Interpret requests; establish scope, responsibilities, and timeline for each examination.
• Draft written submissions and prepare colleagues for meetings with examiners.
• Review materials to identify improvements or escalation opportunities.
• Maintain examination records and improve processes for managing examinations.

Skills

Regulatory examinations experience

Regulatory bodies liaison

Excellent writing

Clear communicator

US financial regulation knowledge

Organizational skills

Education

Bachelor's degree

Job description

About the position

We’re looking for a Regulatory Exam Manager to join our Legal and Compliance team in New York. In this role, you’ll oversee our response to regulatory examinations from start to finish.

You’ll serve as a primary point of contact for regulators and coordinate colleagues across the firm to ensure our responses are clear, accurate, timely, and support constructive regulatory relationships. Additional responsibilities of this role will include:

• Interpreting requests and establishing the scope, responsibilities, and timeline for each examination
• Drafting written submissions and preparing colleagues for meetings with examiners
• Reviewing relevant materials to identify areas for improvement or escalation
• Maintaining examination records and improving the processes we use to manage examinations and related inquiries

About you

• Have 8+ years of relevant legal, compliance, or regulatory experience in financial services, with deep substantive involvement in regulatory examinations
• Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading firm, or similarly regulated financial institution, or advised broker-dealer clients through regulatory examinations as outside counsel
• An excellent writer who can turn complex information into precise, accessible responses
• A polished communicator who can build productive relationships with regulators and handle challenging conversations
• Knowledgeable about the US financial regulatory framework, with the good judgment to recognize when to seek guidance from a subject matter expert
• Highly organized and able to manage deadline-driven work involving contributors from across the firm
• Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this role)