Regulatory Affairs Management Procedure/process


Job Function:

  • Maintain the regulatory affairs management procedure/process(s)
  • Interface and communicate with Regulators and bank management
  • Act as a bridge between regulators and the bank
  • Update the bank’s remediation plan in time with regulators and consult feedback
  • Convey regulators’ advice/comments/instruction/concerns to the bank and give corresponding recommendations
  • Report to management with most updated information
  • Ensure the communication and information exchange system between regulators and the bank is efficient, effective and accurate
  • Collect information regarding progress of remediation for regulatory concerns, and draft report based on the information
  • Provide useful recommendations on current remediation plans
  • Identify potential issues and provide proposals if necessary
  • Monitor the update of Laws and Regulations
  • Focus on updates of laws and regulations, and report most updated information to management
  • Maintain and update Policy and Procedure based on regulatory updates and supervisory or audit inputs


  • Bachelor’s degree is required
  • Minimum 5 years’ relevant experience is required
  • Comprehensive knowledge of U.S. Banking regulations and compliance practice with strong emphasis on all aspects of BSA, AML and OFAC is required
  • Ability to implement the banks policies and procedures
  • Ability to conduct legal research, contract review and other related skills
  • Attentive to details and super organized
  • Work under pressure and possibly stringent deadline independently and collectively as a team
  • Able to perform the quality assurance of the submissions that fully satisfy the requests
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