Regulatory Compliance Manager

4 weeks ago

new york city, United States Mindlance Full time

Job Title: Regulatory Reporting Analyst (VP)

Location: New York, NY (Hybrid)

Duration: 6+ Months (Possible extension/Conversion)


Summary:

Must have Strong Microsoft skills, organizational skills, and communication skills are required. Regulatory/Internal Audit experience is not required, but would be very helpful.


Serve as a member of the Services Regulatory Management team for Client’s Services businesses, responsible for the promotion, support, monitoring, reporting, and leadership of Client’s interactions with its Prudential regulators.

The Services Regulatory Management team is responsible for leading the execution of regulatory interactions with U.S. prudential regulators for the Treasury and Trade Solutions (TTS) and Securities Services (SS) businesses.


Key Activities include:

  • The Vice President role offers a unique opportunity to contribute to the regulatory environment, manage large programs, and engage across all levels of the Services organization.
  • Support interactions with regulators and internal stakeholders, including but not limited to: the coordination and management of events related to examinations, ongoing supervisory meetings and requests for information for Services.
  • Assist in facilitating meetings, discussions, and communications as well as preparing the business stakeholders for meetings with regulators
  • Prepare reporting for senior management that provides regulatory trends, and potential impacts and helps drive proactive regulatory engagement.
  • Perform quality reviews of information provided by the Services business to U.S. prudential regulators to drive consistency, completeness, and timely submission.
  • Enter regulatory activities in the Firm’s system of record (Regulatory Engagement Tracking – RET) and maintain the Services regulatory calendar.
  • Analyzing, digesting, and summarizing information/documentation responsive to regulatory requests.
  • Maintaining the centralized repository where documents are stored, as well as previous regulatory and supervisory findings, reports, and similar documents.
  • Execute ad-hoc projects as well as additional duties, as assigned.


Qualifications:

  • Basic knowledge of the regulatory engagement process (including understanding of U.S. prudential regulators) or internal audit experience
  • Excellent written and verbal communication skills
  • Excellent technical skills (SharePoint management, Excel, PowerPoint and Word)
  • Strong planning, and organizational skills with attention to detail and the capability to handle multiple projects simultaneously
  • A general understanding of banking regulations is helpful, and knowledge of the Services businesses is a plus
  • Familiarity with control management and Issue management
  • Must be a self-starter, with the ability to adapt, multi-task, be flexible and innovative
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Proven ability to build and maintain relationships.
  • Ability to work both collaboratively and independently; ability to navigate a complex organization
  • Prior experience in project/program management a plus



Experience:

  • 6-10 years of relevant experience in regulatory management, internal audit, control management, compliance, or a similar role within the financial services industry.


Education:

  • Bachelor's Degree required.


“Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”

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