Senior Capital Markets Regulatory Specialist

Senior Capital Markets Regulatory Specialist

Our client, a leading organization in the financial services industry, is seeking a dedicated and detail-oriented Senior Capital Markets Regulatory Specialist to join their team. As a Senior Capital Markets Regulatory Specialist, you will be an integral part of the Compliance Department supporting the Public Offerings team. The ideal candidate will demonstrate analytical thinking, strong communication skills, and a proactive approach, which will align successfully within the organization.

Location: Rockville, Maryland or McLean, VA - on site 3x a week

Pay Range: $60.70/hr

What's the Job?

• Analyze complex and high-profile public offering transactions to ensure compliance with securities laws and regulations.
• Review and investigate underwriting arrangements, verifying proper valuation and disclosure to investors.
• Draft comment and inquiry letters, communicate regulatory policies, and review correspondence related to public offering filings and investigations.
• Conduct independent investigations and develop cases related to potential violations of securities regulations.
• Support enforcement investigations and assist with on-site examinations of corporate financing activities.

What's Needed?

• Bachelor's Degree with at least three (3) years of relevant industry experience; JD or MBA preferred.
• Educational background or experience in finance, data analysis, or information systems.
• Strong written and oral communication skills.
• Excellent organizational skills with a keen eye for detail.
• Ability to work independently, manage multiple priorities, and solve problems efficiently.

What's in it for me?

• Opportunity to work in a dynamic and supportive environment focused on professional growth.
• Engagement with impactful projects that influence the financial industry.
• Access to ongoing training and development resources.
• Collaborative team culture that values diversity and inclusion.
• Potential for career advancement within a reputable organization.

Upon completion of waiting period consultants are eligible for:

• Medical and Prescription Drug Plans
• Dental Plan
• Vision Plan
• Health Savings Account
• Health Flexible Spending Account
• Dependent Care Flexible Spending Account
• Supplemental Life Insurance
• Short Term and Long Term Disability Insurance
• Business Travel Insurance
• 401(k), Plus Match
• Weekly Pay