Vice President - Regulatory Examinations Specialist
Standard / Permanent
- Serve as the point person internally (with senior management) and externally (with the regulators) for regulatory meetings, requests and exams related to Risk Management and Compliance.
- Notify senior management and other relevant firm personnel of upcoming examinations/continuous monitoring meetings and advise on scope/agenda and expectations.
- Review and assure clarity of documents/information being requested. Discuss with examiners any requests that are unclear or overbroad.
- Facilitate the collection of, tracking of, and perform quality control over all documents submitted to exam staff before, during, and after on-site review and/or continuous monitoring meetings.
- Schedule and attend requested/required meetings with Regulators and firm employees to ensure all regulatory needs are addressed.
- Maintain constant contact with exam staff leader to track progress of exam(s), etc.
- Coordinate with relevant parties within the firm to respond to findings/close-out letters. Resolve and/or follow up with relevant parties regarding the resolution of findings resulting from regulatory examinations with a view to improve future examination results.
- Track and input regulatory findings into the Firm’s audit tracking systems. Follow up with relevant personnel on action items required to address any findings, tracking progress until completion.
- Provide ongoing analysis of supervisory issues related to Risk Management and Compliance.
BA or BS a must.
JD’s and MBAs preferred.
7 – 10 years of relevant industry experience, preferably in a business function, control function or regulatory relations role.
Excellent communication skills, including oral and written.
Attention to detail and strong analytical skills.
Project management skills, with the ability to work on multiple tasks with competing priorities at once and successfully managing all to completion.
A high level of detail orientation and organization.
Knowledge of rules, regulations and guidance for both banking and capital markets
This is a great opportunity for the right person to join a strong team with solid reporting lines into a Compliance management team that promotes independence, growth, and opportunity and that takes a vested interest in achieving the upside of each team member. Our department is uniquely configured so that opportunities abound to make contributions beyond a person’s role and minimize silos with visibility into senior management.