JOB DESCRIPTION:

• Coordinate regulatory examinations for our regulated subsidiaries; assist in the processing of regulatory requests for information; act as a liaison and central point of contact for regulators and requests outside the examination context.

RESPONSIBILITIES:

• Act as a support to the regulatory relations liaison function that acts as a central point of contact for regulators
• Assist in processing regulatory requests for information by gathering information from personnel at all levels from various departments across organization
• Review responses for timeliness and responsiveness, track follow-up items, and facilitate the submission of responsive information to regulators
• As needed, coordinate all aspects of physical onsite examinations including the coordination of meetings, and the review and submission of documentation to regulators
• Assist in the coordination and drafting of post-examination response letters to regulators
• Contribute to internal management reporting with respect to examinations, meetings, and other ad-hoc requests
• Generally, assist the company’s Regulatory Relations leadership team as necessary
• Mitigate risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

QUALIFICATIONS:

• Analytical thinking, communication skills and ability to drive collaboration
• Minimum of 5-7 years of related experience
• Bachelor’s degree preferred with Masters or equivalent experience

ADDITIONAL QUALIFICATIONS:

• Minimum of 5 years of related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, regulatory/litigation experience at a law firm

MUST HAVE:

Bachelor’s degree required. JDs should also apply

Related experience in the financial services industry with experience in a regulatory or support and control function such as Legal, Compliance, Audit or Risk, regulatory/litigation experience at a law firm.

Ability to assist in the processing of regulatory requests for information, act as a liaison and central point of contact for regulators and requests outside the examination context.

ADDITIONAL INFORMATION:

Pay and Benefits:

Competitive compensation, including base pay and annual incentive

Comprehensive health and life insurance and well-being benefits, based on location

Retirement benefits

Paid Time Off and other leave of absence

Flexible/Hybrid Work Arrangements (2 – 3 Days work from OFFICE)