Regulatory Communications Output Management Lead

EQUITY ADMINISTRATIVE SERVICES INC AND AFFILIATES•Dallas, TX

5d•Onsite

About The Position

The Regulatory Communications Output Management Lead is responsible for overseeing the creation, review, distribution, and retention of all regulatory communications and disclosures required by federal securities laws, FINRA, and SEC rules. This role ensures that all client-facing regulatory notices comply with applicable regulations, while maintaining operational efficiency and data integrity.

Requirements

Bachelor’s degree in Finance, Business, or related field; advanced degree or compliance certification (e.g., CRCP) preferred.
7+ years of experience in broker-dealer operations, compliance, or regulatory communications.
Strong knowledge of SEC Rules 17a-3, 17a-4, 10b-10, FINRA rules 2231, 2232, and related recordkeeping and delivery requirements.
Familiarity with self-clearing broker-dealer systems and processes.
Excellent project management and communication skills.
Proficiency in regulatory technology platforms and output management tools.
Intermediate-level proficiency with Microsoft Office
Experience working with a CRM, preferably Salesforce

Responsibilities

Manage the end-to-end process for regulatory communications, including trade confirmations, statements, prospectuses and notices.
Ensure compliance with SEC, FINRA, and other applicable regulatory requirements for communication content and delivery.
Maintain accurate records of all communications in accordance with SEC Rule 17a-3 and 17a-4 retention requirements.
Oversee systems for archiving and retrieval of communications for audits and regulatory inquiries.
Implement controls to prevent unauthorized changes to regulatory outputs.
Conduct periodic reviews and testing of communication templates and distribution processes.
Collaborate with IT and third-party vendors to ensure secure and compliant output management systems.
Drive automation initiatives for communication workflows while maintaining regulatory integrity.
Monitor regulatory developments and update communication processes accordingly.
Prepare reports for internal governance and regulatory examinations.
Respond to inquiries from regulators regarding communication practices and recordkeeping.
Performs other duties as assigned