Job Details

Corporate Compliance - CIB Regulatory Exam Manager - Vice President

Company name

Organization Type


Job Type


Years of Experience

5-10 yrs required


New York City, NY

Date Last Verified

Oct 17,2017

Posted on

Jul 18,2017
Practice Area
Government and Government Relations >> Government and Government Relations
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Corporate Compliance - CIB Regulatory Exam Manager - Vice President Responsibilities: Coordinate onsite examinations by regulators covering a variety of topics, businesses and functions related to Corporate and Investment Bank. Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues. Communicate extensively (orally and in writing) and develop effective relationships with regulators. Establish and develop effective relationships within Compliance and with the Business, Operations, Regulatory Reporting, Technology, Oversight and Controls, Legal and Internal Audit. Work with the relevant businesses and functions to obtain information / documentation to respond to regulatory requests. Analyze, digest and summarize information / documentation responsive to regulatory requests. Prepare business personnel for meetings with regulators. Identify mitigating facts and circumstances (as applicable) to rebut issues identified during the examination or sweep. Prepare substantive written responses to regulatory requests and examination reports. These responses typically advocate on behalf of the firm and require the ability to apply the applicable laws and regulations at issue to the facts of each matter. Communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings. Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings. Some travel, including international, required.

Qualification and Experience

Qualifications: BA/BS, or a similar degree, required. JD Degree preferred. 5-10 years banking compliance, legal, regulatory or related bank regulatory experience required. Experience working for a Regulator desirable but not required. Ability to learn new areas while supporting them. Excellent interpersonal, leadership, organizational and communication (verbal and written) skills. Project management experience or skills. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues. Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint.

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