Manage Through Change
Renaissance Regulatory Services is founded on the premise that the financial services industry is constantly changing. New products and services, changing regulations and globalization create unique issues in compliance and operations for firms of all sizes and business models. In order to Manage Through Change, firms must have the ability to quickly recognize and respond to the compliance and operational challenges that arise.
The Team
Job Opportunities
RRS looks for experienced industry professionals who wish to be part of an organization dedicated to providing high quality services to our clients while maintaining a level of independence to expand their professional expertise. RRS offers a generous benefits package. The ideal applicant will have 3 – 5 years regulatory experience with the SEC, FINRA, CFTC, NFA, or a state regulatory agencies or similar industry experience.
Skills
Regulatory Expertise
The RRS team has extensive experience with SEC, FINRA, and state regulatory requirements applicable to investment managers, funds, and broker-dealers. We work with a wide range of buy side and sell side firms across the country.
- Net Capital
- Risk Management
- Trade Surveillance
- Sales Practice Supervision
- AML Program Testing
- Form ADV/BD
- Code of Ethics
- Public Communications
- Social Media
- Due Diligence
- Supervisory Controls
- Registrations
