Regulatory Officer/Associate Level
We are searching for a Regulatory Officer/associate level who will support regulatory examinations and/or advisory services. Responsibilities include but are not limited to:
- Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
- Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
- Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations.
- Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
- Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports.
- Maintaining regulatory communications, transmittal letters, management responses, and remediation actions.
- Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution.
- Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed.
- Assist with West Coast Governance Committee meetings