Senior Specialist Regulatory Strategy & Readiness
Core
Monitors and analyzes complex financial regulatory developments to anticipate risks, prepare for examinations, and execute regulatory change governance for a financial services firm.
Role type
Senior Specialist Regulatory Strategy & Readiness (IC)
Builds
Regulatory intelligence summaries, executive briefings, readiness materials, examination playbooks, and governance dashboards
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory analysis, risk assessment, executive reporting, project management, data synthesis, examination coordination, remediation tracking
Preferred skills
Regulatory change management, data visualization, mock examination support, workflow automation
Technologies
Microsoft Office, dashboard tools, data visualization tools
Responsibilities
Monitor SEC, FINRA, DOL, and state regulator developments; analyze impact and urgency; support regulatory examinations and inquiries; maintain regulatory inventories and readiness checklists; develop executive-level reporting and thematic analyses; coordinate cross-functional regulatory impact assessments; track remediation actions to closure.
Seniority
Senior, hands-on IC
