Meet with Regulators
Overview
Participants who Meet with Regulators serve as representatives of NSCP members and the broader compliance community in discussions with regulatory agencies. This ad hoc opportunity allows members to help elevate industry perspectives, share practical compliance challenges, and communicate member concerns and feedback to regulators, including the SEC, FINRA, and NASAA. Participants play an important role in fostering constructive dialogue between the compliance profession and regulatory stakeholders.
Responsibilities
- Regulatory Engagement: Participate in meetings with regulators as opportunities arise and represent the perspectives and concerns of NSCP members and the compliance community in a professional and constructive manner.
- Member Advocacy: Understand and communicate key compliance issues, challenges, and emerging trends affecting NSCP members and help ensure that the voices of compliance professionals are considered in regulatory discussions and initiatives.
- Collaboration: Work with NSCP staff and fellow participants to prepare for regulatory meetings and share insights and feedback following meetings to help inform future NSCP advocacy and engagement efforts.
- Subject Matter Expertise: Leverage professional experience and industry knowledge to provide practical perspectives on regulatory and compliance matters and stay informed about significant regulatory developments and industry trends relevant to the compliance community.
- Professional Representation: Act as a liaison between NSCP members and regulatory agencies, helping to communicate industry perspectives, concerns, and practical compliance considerations while supporting NSCP in promoting and advancing the interests and concerns of compliance professionals with regulatory authorities.
Qualifications
- Current NSCP member
- Strong knowledge of the securities industry and compliance profession
- Ability to communicate effectively and professionally with regulatory stakeholders
- Willingness to represent the interests of NSCP members and the broader compliance community
- Strong judgment, professionalism, and collaborative skills
- Familiarity with NSCP's mission, values, and membership base
Time Commitment
- Volunteer role with participation on an as-needed basis when opportunities to engage with regulators arise
- Time commitment will vary depending on the nature and frequency of meetings or regulatory initiatives
- Preparation and follow-up activities may be required for certain engagements
Benefits
- NSCP Volunteer digital badge to use on social media, websites, and email signatures
- Opportunity to directly contribute to discussions with regulatory stakeholders, including those at the SEC, FINRA, and NASAA
- Help shape the dialogue on issues affecting compliance professionals and the industry
- Expand your professional network through engagement with peers, regulators, and industry leaders
- Build visibility and demonstrate leadership within the compliance community
- Letter of recognition available upon request
Summary
Meeting with Regulators provides NSCP members with a unique opportunity to serve as a voice for the compliance community, bringing member perspectives, concerns, and practical insights directly to regulators. Through periodic engagement with agencies such as the SEC, FINRA, and NASAA, participants help strengthen communication between regulators and compliance professionals while advancing NSCP's mission and advocacy efforts.