Vice President, Regulatory Risk Governance

Full Time



Job Summary:

  • Assist with Regulatory Affairs – exam management for the Risk Management function
  • Management of Risk Regulatory Projects.
  • Assist with establishment and management of the Regulatory Risk Management Framework
  • Participate in the Regulatory Advocacy initiative. (Proactive monitoring of upcoming Rules and Regulations and developing an awareness of the regulatory landscape)

Job Duties:

  • Assist the Head of US Operations Risk Regulatory Affairs to develop the overall “Risk Regulatory Agenda” including current areas of work to support or potential regulatory concerns or initiatives.
  • Management of Risk Management Projects that were initiated as a result of Regulatory Requirements.
  • Assist with enhancements to the governance process and establishment and management of the Regulatory Risk Management Framework.
  • Produce regular reporting and presentations on regulatory coverage for management.
  • Analyze key upcoming Regulatory guidance to assess level of compliance with current practice.
  • Keep abreast of relevant Regulatory developments related to Bank’s Operations and ensure appropriate dissemination. Participate in Regulatory Advocacy discussions.
  • Prepare, initiate and execute the Risk Regulatory self-assessment process including the review & challenge process.
  • Assign subject matter experts and project manager for each remediation initiative in relation to the self-assessment process.
  • Produce regular status reporting on self-assessment and remediation efforts for regulators and management.
  • Assist development of policies and procedures to ensure adherence to regulations.
  • Coordinate Risk Regulatory deliverables and presentation materials for regulatory examinations and requests, ensuring accuracy and timely delivery.
  • Assist with the management of overall Risk related communications and relations with Regulators to ensure understanding of issues and points of interest.
  • Develop strong internal network across businesses and control functions in order to maintain detailed knowledge of internal strategy and practices.


  • Familiarity with the Regulatory oversight process as it relates to FRB, FINRA, SEC and other US Regulators.
  • Understanding of regulations, best practices and regulatory expectations.
  • Excellent verbal and written communication skills.
  • Excellent organizational skills to accommodate difficult deadlines across several multiple regulators and businesses.
  • General knowledge of financial products and businesses, including loans, underwriting business, products in the securities markets, futures and derivatives, operations in a bank’s treasury department, market credit, operations risks and supporting IT systems.
  • Ability to work closely with various stakeholders to align business strategy with regulatory actions governing capital, liquidity, leverage, etc.
  • Ability to influence others and achieve objectives without direct reporting supervision.
  • Ability to work with limited supervision to determine and execute appropriate regulatory agenda.
  • Experience operating in large, complex organizations.
  • Experience in executing programs and strategies across large, complex organizations.
  • Experience reviewing regulations related to bank holding companies/intermediate holding companies (bank regulatory capital requirements under FRB guidelines and Basel Accords, enhanced prudential standards under Dodd-Frank and Volcker Rule requirements)
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