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Regulatory Relations Expert

2 months ago

Los Angeles California, United States City National Bank Full time
Job Summary

We are seeking a highly skilled Regulatory Relations Expert to join our team at City National Bank. As a key member of our regulatory relations team, you will be responsible for coordinating end-to-end regulatory activity within our organization and the broader Combined US Operations.

Key Responsibilities
  • Oversee, train, and manage a team of colleagues who perform various regulatory relations functions across our organization and RBC in the US.
  • Work as a team leader to facilitate all regulatory examinations, including targeted on-site examinations by regulators with minimal supervision across our organization and RBC in the US.
  • Manage a team that works with business and risk units to oversee and coordinate planning, fieldwork, and final responses to external regulators, including but not limited to data requests and responses to exam findings.
  • Schedule and assign team members to exams according to exam calendar and area of expertise. This will include working with the broader CUSO team to ensure full coverage of all regulator activities.
  • Responsible for ensuring responses to regulatory concerns are well informed and appropriately address concerns raised.
  • Deliver proactive communication strategies with regulators and provide advice to management on the best approach to regulatory interactions with guidance on best-in-class presentations, materials, and other submissions provided to regulators.
  • Synthesize regulatory feedback and key thematic findings to senior management, Board-level committees, and key stakeholders to drive awareness of and help anticipate regulatory concerns.
  • Maintain records of all regulatory matters in a centralized location for the coordination of regulatory communications, requests, reporting through RBC channels, and track implementation of remedial response(s) by the Bank.
  • Schedule and attend meetings for examiners with senior management and with BU contacts on specific exams or prep meetings.
  • Lead prep meetings for internal stakeholders prior to exam and update meetings with regulators.
  • Responsible for entering and maintaining exam and issue status in the issue management system and reporting as needed.
Requirements
  • Bachelor's Degree or equivalent
  • Minimum 8 years of experience working in the financial industry, preferably in a regulatory-facing role
  • Minimum 8 years of experience in banking operations, compliance, and/or risk management activities
  • Strong interpersonal, influencing, and communications skills with an ability to interact effectively with stakeholders and regulators, as well as effectively building relationships within the Bank
  • Exceptional writing skills, with ability to synthesize complex concepts and translate into effective presentations to external regulators and Senior Executives
  • Working knowledge in a broad range of risk management disciplines including credit, market, and operational risks
  • Experience being a part of a Regulatory Relations team for a large US bank
  • Autonomous, detail-oriented, and highly motivated with the ability to work independently as well as collaboratively
  • Experienced in regulatory interaction, interaction with senior management, project and time management, exam management, and issue management with excellent organizational, follow-up, and time management skills
  • Demonstrated ability to think critically and facilitate change through collaborative effort
  • Strong interpersonal, verbal, and written communication skills
  • Self-motivation, discipline, task focus, the ability to structure and present work, and a proven record of delivering high-quality results within strict deadlines
  • Ability to work on multiple projects simultaneously and prioritize several concurrent initiatives, both individually and for the team
  • Ability to prioritize work for direct reports
  • Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs
  • For Banking Compliance-related roles, Certified Compliance Risk Manager (CRCM)
  • For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser
  • For Wealth Management Compliance roles, experience working within a Compliance Investment Management role
Compensation

Starting base salary: $101,231 - $172,355 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.