VP, Regulatory Policy

Full Time

Investment Bank

Office Status: Hybrid

Midsize and growing investment bank is building out an internal advisory team to assist with regulatory reporting and controls. The team is made up of 4 people total and they’re looking for a 5th person. This group is viewed as SME’s related to regulatory policy and procedures and are in constant contact with the 1st LOD and senior stakeholders throughout the firm. This is a brand new function at the firm with a huge path for growth as they continue to grow. The team is working remotely for now but will eventually be in the office only 2 days week. Great opportunity for a high level analytical position in one of the fastest growing international investment banks.


  • Support the Regulatory Reporting Policy Dept to develop, document, and maintain key rule interpretations and guidance for U.S. regulatory reporting requirements (LCR, NSFR, BASEL, SA-CCR, SCCL, FR 2052a, RWA, FRY 15, FRY 9C, FFIEC 002 etc.)
  • Keep track of and provide guidance to relevant stakeholders for new and emerging U.S regulatory rules and requirements.
  • Provide training on a regular basis on key U.S. regulatory reporting requirements for the company.
  • Demonstrate abilities to challenge data reported in all reporting schedules adhered to respective guidance, identify potential gaps and develop remediation plan.
  • Support governance and control requirements related to regulatory capital adequacy and liquidity models
  • Work closely with business or other stakeholders to resolve emerging regulatory reporting requirements and respond to questions related to the regulatory reporting policies and standards.
  • Support relevant advocacy efforts and the implementation of regulatory reporting projects.
  • Assess regulatory reporting impacts and implications on the company’s new products, new trades and complex business transactions provided by the Controllers regulatory reporting teams.
  • Interact with members of the Federal Reserve, Audit and other regulatory bodies on technical regulatory reporting matters.
  • Participate in industry forums related to regulatory capital, liquidity regulatory reporting, and other major regulatory reports. Assist the Regulatory Reporting Policy Dept head to provide technical expertise to shape SMBC’s comment letters on all evolving regulations


  • 7+ years of regulatory reporting experience
  • Analytical and research skills on various US Regulatory Reporting requirements
  • Strong presentation skills
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