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Regulatory Officer – Associate

  • Midtown Manhattan
  • Full Time

Apply for the Regulatory Officer – Associate position

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Investment bank located in Midtown Manhattan looking to bring on board a “Regulatory Officer – Associate” to join their team. The role is currently in a hybrid schedule (2 days in the office).

*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.