The Regulatory Inquiries Group Regulatory professional's primary responsibilities include:> Handle complex regulatory inquiries from an analysis of trading data and complex books and records requests to drafting responses to regulators> Communicate with and maintain relationships with regulators> Extract and analyze Firm books and records, primarily focusing on trading records and client documentation> Work closely with business, operations, technology and Legal and Compliance Division (LCD) stakeholders on responding to regulatory inquiries> Support adhoc requests/ projects as needed> Liaise with technology team daily to discuss issues, address concerns, and facilitate projects related to the needs of the regulatory inquiries group and electronic blue sheet reporting Experience> At least a Bachelor's degree with minimum of 4-7 years' experience in Compliance, in a broker-dealer or regulatory environment, with experience in trading and markets, and Firm books and records> Solid track record working in a professional environmentKnowledge> Knowledge of SEC, FINRA, CME, CFTC and/or other SRO rules and regulations> Moderate to strong understanding of US Securities Trading and Markets, including a strong knowledge of financial securities products> Strong understanding of broker/dealer books and records> Understanding of legal documents and terminologies> Should exhibit comfort working with technology and the ability to learn and display proficiency on Firm systems and programs> Strong proficiency with MS Office; with strong focus on Excel and Word> Practical use of Copilot or similar Generative AI. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.