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.