Regulatory Analyst

About the Role

Monex is seeking a Regulatory Analyst to support the firm's regulatory affairs and compliance functions. This role is responsible for researching, analyzing, and interpreting applicable U.S. and Canadian laws, regulations, regulatory guidance, and industry developments to identify their impact on the business. The Regulatory Analyst will support regulatory change management, compliance risk assessments, licensing activities, policy and procedure updates, and regulatory reporting initiatives to help ensure Monex USA maintains compliance with its applicable legal and regulatory obligations.

Key Responsibilities

• Conduct open-source research on U.S. and Canadian laws and regulations for regulatory assessments to identify compliance requirements.
• Monitor developments in U.S. and Canadian regulations and legislation to support regulatory change management initiatives.
• Review and update Monex policies and procedures to support compliance with regulatory requirements.
• Contribute to development and maintenance of the Compliance Risk Assessment, monitoring inherent risks, controls, and residual risks.
• Assist the Regulatory Affairs Manager with actioning items under the Compliance Monitoring Plan.
• Maintain Monex’s U.S. and Canadian licenses and prepare related reports for submission for regulatory good standing and compliance.
• Retain regulatory inventories, licensing records, reporting schedules, and other regulatory governance documentation for recordkeeping.
• Support examinations, audits, and information requests for regulators by compiling documentation, evidence, and correspondence.
• Respond to information requests and Know Your Customer requests from banking partners and third parties for relationship management.
• Assist the Regulatory Affairs Manager with producing management information for senior management reporting.

Requirements & Tech Stack

• Proficiency in Microsoft Office Suite, including Word, Excel, and PowerPoint.

Qualifications

• Bachelor's degree in Political Science, Public Administration, International Relations, Legal Studies, or a related field.
• Strong research, analytical, and critical-thinking skills, with the ability to interpret complex legal and regulatory materials and communicate findings clearly.
• Strong written and verbal communication skills.
• Excellent attention to detail and organizational skills.

Preferred Qualifications

• Relevant professional or internship experience in government, public policy, government affairs, regulatory affairs, compliance, legal research, or a related field.
• Experience researching and analyzing government publications, legislation, regulations, or legal materials.
• Familiarity with U.S. or Canadian regulatory frameworks.
• Experience preparing regulatory summaries, reports, or written assessments.