Regulatory Officer – Associate

Full Time

International 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.
  • 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 circulates information in weekly status reports.
  • Maintains all regulatory correspondence, transmittal letters, management responses, and remediation action in a central repository.
  • Escalates to management and relevant business units on potential issues observed during or outside the exams and reviews to ensure that those may be properly addressed as soon as possible.
  • Develops and updates regulatory procedures manual and user manual for regulatory SharePoint sites.
  • Develops and maintains project tracking and reporting tools (through SharePoint, Excel, etc.) to facilitate effective and efficient management status reporting.
  • Works closely with all regulatory and governance staff and assists with other GPDAD functions as needed.
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