Regulatory Exam Manager
Core
Oversee the firm's response to regulatory examinations from start to finish, serving as the primary point of contact for regulators.
Role type
Senior IC regulatory exam manager
Builds
Regulatory examination responses and improved management processes
Domain
US financial services regulation
Deliverable
client delivery
Required skills
regulatory examination management, regulatory interpretation, written submission drafting, stakeholder coordination, process improvement, US financial regulatory framework knowledge
Preferred skills
JD, experience advising broker-dealer clients through examinations
Technologies
none stated
Responsibilities
Interpret examination requests and establish scope, responsibilities, and timelines; Draft written submissions and prepare colleagues for meetings with examiners; Review materials to identify areas for improvement or escalation; Maintain examination records and improve examination management processes
Seniority
Senior, hands-on IC