Regulatory Compliance Officer

3 weeks ago

New York, New York, United States Mindlance Full time
Job Title: Regulatory Reporting Analyst (VP)

Location: New York, NY (Hybrid)

Duration: 6+ Months (Possible extension/Conversion)

Job Summary:

We are seeking a highly skilled Regulatory Reporting Analyst (VP) to join our Services Regulatory Management team. As a key member of the team, you will be responsible for promoting, supporting, monitoring, reporting, and leading Client's interactions with its Prudential regulators.

Key Responsibilities:

  • Support interactions with regulators and internal stakeholders, including 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 business stakeholders for meetings with regulators.
  • Prepare reporting for senior management that provides regulatory trends, potential impacts, and drives 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.
  • Analyze, digest, and summarize information/documentation responsive to regulatory requests.
  • Maintain 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.

Requirements:

  • 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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