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The candidate will manage interactions with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA), including regulatory examinations and investigations, document production and regulatory examination responses. Manage primary legal counsel to business principals in branch office locations and home office business units during regulatory examinations and investigations. Responsible for managing field referrals of ...
Records Management Assistant
The candidate will assist the Superfund Division with records management functions by organizing and indexing technical and administrative records. Conduct document processing, research, and database maintenance support in addition to file reviews and searches. Organize and index technical and administrative records and manage digital records collections in the Superfund Records management system. Work with technical staff to assist with record...