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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - General
Min 7 yrs required
Corporate Compliance - Regulatory Compliance Manager - Vice President The candidate will be responsible for all aspects of the relationship with various regulatory, including managing exams and periodic meetings with senior business. Will manage and participate in regulatory exams and regulatory inquires, liaise with business partners in providing requested information. Ensure coordination by assigned examination teams of meetings, logistics, and all deliverables with the business, control teams, legal and compliance stakeholders. Arrange meetings with regulators and compliance and/or business management; maintain records and reports of meetings, ensure proper follow - up as necessary. Ensure information from regulatory meetings is disseminated appropriately to the business. Liaising with the business on relevant compliance issues; understand and give guidance to the business on policies and regulator expectations. Researching and responding to regulatory queries; prepare responses to client inquires related to exams and to general compliance program matters. Working closely with business and support groups to develop detailed action plans that address all issues in the final report for the examination. Engage in remediation of open exam issues as needed, and keep the appropriate business groups and senior management up to date on the progress.. Ensure that all issues or comments from regulators are addressed and incorporated into policies, procedures, and training as necessary and shared across LoBs and regions as necessary. Maintain active dialogue and endeavor to enhance Investment Management’s relationship with its regulators.
Qualification and Experience
The candidate should have Bachelor Degree. 7+ years of legal, risk, audit, regulatory compliance or financial services experience required, JD Degree is strongly preferred. Experience managing regulatory exams for a financial services company is essential. Experience working for an asset manager in a control function is needed. Must have proven track record in building good working relationships and Proven manager with strong interpersonal skills, Exposure to OCC or other banking regulatory examinations experience is strongly preferred. An understanding of when issues require escalation is essential. Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management is essential. Proven track record in building good working relationships is essential. Strong attention to detail and analytical skills is needed.
Ref. 180099234
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