The Regulatory Engagement Management Lead will be responsible for supporting the Head of Regulatory Exam Management with the development, management, execution, and continued improvement of the team. Coordination and management of regulatory examinations, which includes:
Identify responsible individuals for information requests and disseminate First Day Letters to Stakeholders.
Facilitate meetings to explain examination scope, process, roles, and regulatory expectations.
Coordinate and summarize regulatory meetings, track request resolutions, and escalate issues.
Review and prepare responses to regulatory requests, acting as a liaison with regulators.
Collaborate with stakeholders to address examination findings and assist with preparing management responses.
Assist with developing policies, processes, and documentation for regulatory examinations and requests.
Prepare personnel for regulatory meetings and communicate findings/remediation updates.
Manage findings remediation lifecycle in Archer, ensuring validation and regulator approval.
Produce reports on examinations, findings, and remediation for senior management and boards.
Provide strategic advice, training, and awareness on regulatory engagements and methodologies.
Maintain centralized repositories for examination-related documentation and remediation records.
Maintain regulatory trends, review processes, and recommend improvements
Requirements
Extensive experience managing regulatory exams, interacting with regulators, and navigating financial services laws, regulators, and risks.
Strong skills in internal controls, compliance, legal functions, and developing board-level reporting/metrics.
Awareness of regulatory requirements including local and US laws, international and industry standards
Excellent verbal, written, and advocacy skills
Highly detail-oriented, organized, and capable of managing multiple projects under tight deadlines
Must be a self-starter, flexible, innovative and adaptive
Strong presentation skills (written and verbal) with the ability to articulate complex problems and solutions through concise and clear messaging
Ability to work collaboratively with global partners in other functional units; ability to navigate a complex organization; and to influence and lead people across cultures at a senior level
Flexibility to work extended hours to meet deadlines, when necessary
Experience in compliance, legal or other control-related function in a financial services firm, regulatory organization, and/or legal/consulting firm
Benefits
bonus eligibility
equity eligibility
benefits (including medical, dental, vision, and 401(k))
Applicant Tracking System Keywords
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