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Years of Experience
Manager- Regulatory Examinations The candidate will manage examinations by state and federal regulators. Work directly with regulators during examination process, and meet with regulators on-site or by telephone. Work with business units to gather necessary documents and information requested by regulators. Review examination reports from regulators and assist, as needed, in drafting responses. Input and tracking of examination documents and findings in database. Work with various business units to ensure any examination findings are resolved. Provide periodic reports on regulator examination volume and status. Ability to travel as needed for examinations. Should have Bachelor’s degree in Business or related discipline, Paralegal Certificate or equivalent related experience required. Must have 8+ years of regulatory experience. Should have 4+ years of experience in a financial services organization. Must have ability to properly interpret and analyze regulatory and compliance issues. Should have exceptional oral and written communication skills and the ability to independently draft responsive documents for examinations.
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