Member of Compliance, Regulatory Relations
About the Role
You will ensure robust compliance across multiple jurisdictions by managing regulatory reporting, coordinating regulatory examinations, and handling regulatory requests. You will prepare and submit accurate filings, manage regulatory calendars and deadlines, coordinate internal stakeholders, drive process improvements, analyze compliance data, and implement remediation plans when needed.
Requirements
- Minimum of 7-10 years of progressive compliance experience in financial services
- Substantial experience managing regulatory reporting, Regulation W and fiduciary compliance obligations
- Extensive understanding of Regulation W and fiduciary obligations and their practical application
- Experience establishing and maintaining policies and procedures under OCC and DFS regulations
- Knowledge of US financial regulations including NYCRR Part 200, BSA, AML, and OCC regulations
- Familiarity with compliance frameworks and best practices
- Proficiency with compliance software and tools
- Strong written and verbal communication skills
- Project management and stakeholder coordination experience
Responsibilities
- Manage regulatory reporting and ensure accurate and timely submissions
- Coordinate and lead regulatory examinations and audits
- Handle regulatory requests and act as primary liaison with regulators
- Maintain regulatory calendars and manage deadlines
- Develop and maintain policies and procedures to ensure fiduciary and regulatory compliance
- Drive process improvements and change management for compliance processes
- Analyze compliance data and leverage compliance tools
- Manage issue remediation processes identified during exams or reviews
- Prepare documentation and brief senior management and subject matter experts
- Track and report on regulatory trends and developments