**Responsibilities**:
- Participating in the coordination and execution of regulatory exams; including franchise relevant regulatory reviews and other supervisory activity impacting businesses and control functions.
- Liaising with the supervisory agency teams, including responding to ad hoc requests / inquiries and hosting meetings with senior managers held in connection with ongoing supervision efforts.
- Partnering with regional Exam Management and Regulatory Liaison Offices, local advisory Compliance teams, Business, Risk, Legal, Operations, and Technology to identify, gather and produce responsive documents and information.
- Identifying and escalating issues raised in the course of regulatory exams and supervisory activity.
- Promoting awareness of trends identified during exam management activity and drive common messaging across our organization.
- Participating in UAT testing and working groups on behalf of the Exam Management and Regulatory Liaison Offices to enhance the firm's current regulatory tracking processes, standards and systems.
- Preparing internal reporting and ensure tracking of exams (and associated requests) on a timely basis.
- Developing, enhancing, and promoting the use of globally consistent communication tools/templates/presentations
- Additional duties as assigned.
- Knowledgeable in area of focus
- Participates at in cross-functional or cross business issues designed to ensure business compliance with laws, regulations, and policy requirements across key/complex risk levels.
- Utilizes Issue Management processes and project management methodology from the initiation, planning, control requirements, execution, and closing phases of each issue; end results may include improved productivity, technology, processes, cost savings, and controls.
- Ensure a culture of accountability, integrity and respect
- Works issues/projects as assigned to support improvements
- Negotiate solutions and acts as a liaison with internal and external clients
- Evaluate cost/benefits, make recommendations, develop and oversee implementation plans
- Provides judgment based on analysis of factual information in complicated and unique situations
- Implement and develop controls to prevent risk within specialized business
- Analyzes and identifies risk and performs analytical reporting
- Drives corrective actions
- Coordinates and assists with onsite reviews
- Completion of compliance documentation and on boarding activities relevant to compliance due diligence.
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.
**Qualifications**:
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Effective interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- 5-8 years of risk and control management experience
- High attention to detail and quality
- Demonstrated analytical and problem-solving skills.
- Effective planning and organizational skills
- Consistently demonstrates clear and concise written and verbal communication skills
- Proven ability to make sound business decisions
- Experience in creating and implementing processes that result in improved business performance
- Ability to present a compelling case for ideas and initiatives through listening and articulating a convincing point of view.
**Education**:
- Bachelor's degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; Advanced degree a plus
QUALIFICATIONS AND COMPETENCIES
- Should have a thorough knowledge of operations and control systems as well as an understanding of best-in-class risk management, compliance, and audit/supervisory methodologies.
- Self-motivated, detailed oriented, and ability to multi-task especially interchange of Regulatory Engagement internal initiatives (e.g., scorecard review vs. review of regulatory specific deliverables).
- Ability to meet strict deadlines, either internal or external (e.g., regulators).
- Ability to think "out-of-box" in order to add value and provide clear guidance to audit teams
- clear understanding of the underline purpose of the deliverables being reviewed (e.g., ensuring a specific concern raised by IA or regulatory agencies has been addressed and whether or not it is sustainable).
- Strong data analytics skills and experience with data to identify risk and anomalies wit