Regulatory Exam Management-VP

Full Time

Investment Banking Client

Office Status: Hybrid


  • Notifies senior management and other relevant personnel of upcoming examinations and advises on scope, focus of exam and expectations.
  • Reviews document requests and previews with examiners to narrow and define focus of discovery.
  • Handles overall exam logistics and action plans, which includes tracking deliverables, action items and ensuring timely submissions.
  • Facilitates the collection of documents before, during, and after on-site examinations review and performs due diligence review to ensure the quality of the documentation before submission to the regulators.
  • Coordinates responses to regulatory inquiries to contribute to effective reporting and communication.
  • Schedules and attends meetings with regulators and firm employees to ensure regulatory needs are addressed; documents the content of meetings and timely communicates to senior management and relevant parties.
  • Follows up related to examination findings, works with relevant business units to ensure remediation plan meets regulatory requirements and improves future examination results; inputs findings into SharePoint and addresses any findings.
  • Tracks status of regulatory inquiries, exams, reviews and findings and provides periodic and ad hoc management reporting.
  • Maintains all regulatory correspondence, transmittal letters, management responses, and remediation action in a central repository.
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