Regulatory Initiatives Job Description

Regulatory Initiatives Job Description

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Regulatory initiatives provides analysis of existing/future business processes in support of Liquidity Risk and Interest Rate Risk change management initiatives and/or infrastructure and process enhancement efforts, including enhancing Liquidity Risk and Interest Rate Risk reporting, regulatory analysis and reviewing Liquidity Risk and Interest Rate Risk documentation; and advising on requirements.

Regulatory Initiatives Duties & Responsibilities

To write an effective regulatory initiatives job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory initiatives job description templates that you can modify and use.

Sample responsibilities for this position include:

Ensures Digital, Payments & Cards adherence to bank-wide policies
Working collaboratively with local risk managers on regional and entity level liquidity and non-trading market risk frameworks and policies, you will ensure alignment with enterprise requirements and local regulatory nuances
Work collaboratively with local risk managers on regional and entity level liquidity and non-trading market risk frameworks and policies to ensure alignment with enterprise requirements and local regulatory nuances
Responsible for governance & reporting of Finance–related Standards & Policies
Lead the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk ) of Policies & Standards impacting Markets Product Control
Involvement in the governance & reporting of Finance–related Standards & Policies
Assist with the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk ) of Policies & Standards impacting Markets Product Control
Work with the Senior Manager to ensure the New Initiative Risk Framework and policies are adhered to by liaising with GWM business lines in order to identify, document and monitor new initiates
Independently resolve highly complex, multi-faceted problems to meet the business needs of Operations with a specific focus on creating tangible / measurable operational efficiencies through the application of business, financial, technical and process engineering knowledge
Perform system analysis, application design, development and testing with respect to discreet responsive solutions that may also be used as functional prototypes for broader initiatives lead by technology

Regulatory Initiatives Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Regulatory Initiatives

List any licenses or certifications required by the position: PMP, CEO

Education for Regulatory Initiatives

Typically a job would require a certain level of education.

Employers hiring for the regulatory initiatives job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Education, Finance, MBA, Business, Business/Administration, Accounting, Economics, Engineering, Legal, Management

Skills for Regulatory Initiatives

Desired skills for regulatory initiatives include:

PowerPoint
Excel
Roles and responsibilities of Global Wealth business units and support functions crossing all delivery channels
Word
Visio
Applicable regulatory requirements
Multi-segment risk management
Operational processes and data governance
Organization and infrastructure
Policies

Desired experience for regulatory initiatives includes:

Knowledge and experience with the regulatory reforms in OTC derivatives market is asset, such as Dodd Frank and EMIR, other regulations affecting the capital market business, such as FATCA
Assist in the evaluation of legal and regulatory risk
Review of policy documents
Research and assist in preparation of responses to regulatory bodies
Provide support in relation to new/ongoing legal issues
Advanced presentation skills - ability to produce high quality written materials

Regulatory Initiatives Examples

1

Regulatory Initiatives Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of regulatory initiatives. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory initiatives
  • Manage and control all Home Equity Financing client documentation including Cost of Borrowing (COB) and Standard Charge Terms specific to Residential Mortgages and HomeLine Plans
  • SME on Home Equity Financing COB Disclosures for revisions, amendments and initiative changes
  • Supports operational excellence initiatives and risk mitigants for Home Equity Financing team and the broader PFP team
  • Support the Regulatory Initiatives team to complete industry and competitive intelligence research, and support planned and ad hoc audit and review requirements
  • Provide support to Regulatory Initiatives team for organization infrastructure related to projects and initiatives
  • Provide support to Regulatory Initiatives team with advice and counsel on Home Equity Financing / PFP documents to our internal partners
  • Utilize your analytical skills to review and assess profit and funding mix forecasts, funding, contingency, recovery and resolution plans and remediation activities related to contingent liquidity
  • You will focus on capturing market risk exposures and will work closely with local risk managers to develop risk measures and limits for all non-trading market risk portfolios across all regions and entities
  • You will analyze risk positions to identify if any material risks are currently unreported or unhedged
  • Coordinate testing plans with Tax, Operations and Technology
Qualifications for regulatory initiatives
  • Coordinating and advising on multiple regulatory reviews and external audits
  • Helping to set the strategic direction of the controls portfolio, and seeking innovative solutions to the challenges of implementing front to back control models
  • Networking and negotiating effectively
  • Brokering relationships with stakeholders within and outside the Portfolio
  • Engaging, supporting and partnering with IT Risk, Tech Op Risk, Internal Audit, Regional Mgmt, General Counsel
  • Previous experience dealing with regulators, regulatory exams, and their adhoc requests
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Regulatory Initiatives Job Description

Job Description Example
Our company is searching for experienced candidates for the position of regulatory initiatives. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for regulatory initiatives
  • Lead and facilitate the intake, interpretation and assessment of regulatory changes and corporate regulatory policies affecting multiple IIW business areas
  • Identifies, plans, and executes initiatives across RA sub-functions and related areas
  • Leads project team meetings effectively
  • Develops and supports mechanisms to identify, capture, and report business performance metrics
  • Possesses a working knowledge of product life-cyle, business processes, and regulations in RA sub-functions
  • Develops effective working relationships with team members
  • Helps implement a project management approach for initiatives
  • Prepares status reports and dashboards using standard templates
  • Facilitates business teams to develop current state and future state process models
  • Coordinates and drives deliverable preparation
Qualifications for regulatory initiatives
  • Experience in application development utilizing disparate technologies and integrating heterogeneous systems
  • Strong innate strengths for teamwork and collaboration
  • Natural tendency for information seeking and gathering
  • Impact and influencing ability
  • High degree of organization – strong multitasker
  • Ability to respond and react appropriately to multiple shifting priorities
3

Regulatory Initiatives Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of regulatory initiatives. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory initiatives
  • Represent Markets Product Control in the Recovery and Resolution project working groups and respond to related initiatives
  • Help drive the overall Product Control Regulatory Strategic Initiatives & Standards program agenda
  • Understanding all the proposed changes from the Regulators and how these changes will impact the business, including multiple possible scenarios
  • Understanding how the proposed regulations will affect the individual business, our competitors and partners across the different businesses (e.g., other insurance and wealth competitors, the banks, wealth/asset managers, MGAs, reinsurers)
  • Developing perspectives for the business to engage with regulators in shaping regulation and overseeing major regulatory projects
  • Preparing Individual senior leaders and other corporate stakeholders (as required) on these issues as they lobby the regulatory bodies
  • In light of regulatory changes, testing and challenging the Individual business strategy and business models - with a focus on our distribution, client and solution strategies - for adequacy under the different regulatory scenarios
  • Once new regulations are clear, developing business interpretations of the regulations and developing business rules for implementation
  • Developing and maintaining the registry of business interpretations and business rules
  • Partnering with Corporate, other Bus, Legal and compliance on these issues
Qualifications for regulatory initiatives
  • Continue
  • Broad scope of knowledge of banking businesses, including products, services, and operations and full understanding of compliance requirements applicable to assigned regulation(s), regulatory requirements and/or compliance risks
  • Occasional travel may be required to see financial centre managers and advisors
  • Background check will be completed for all applicants
  • Demonstrated ability to successfully interact with and influence multi-divisional and multi-functional teams from across the globe
  • Extensive experience on regulatory projects (Margin Rules for non-centrally cleared derivatives Dodd Frank, EMIR trade reporting, Portfolio Reconciliation, Swap Surveillance, Volcker Rule)
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Regulatory Initiatives Job Description

Job Description Example
Our company is growing rapidly and is looking for a regulatory initiatives. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory initiatives
  • Prepare quarterly reporting and dashboards – Key Risk Indicators, Business Environment Surveys, Action Plans
  • Work closely with GWM business lines to identity, assess, mitigate and monitor outsourcing risks while providing key oversight functions and program assurance
  • Point of contact for DSE on all Regulatory and Compliance initiatives/deliverables
  • Helps to make recommendations on strategy and process improvement to drive successful outcomes for quality, regulatory and compliance initiatives special projects assigned
  • Monitors various Correct Action Plans within the department to ensure action items are successfully met
  • Coordinates and tracks various deliverable to successful completion
  • Creates presentations and presents on initiatives as needed
  • Works with internal business partners as needed to ensure successful roll out /completion of assigned initiatives/projects/deliverables (Regulatory, Product, Marketing, Compliance, Clinical Partnership, Population Health, Clinical Quality, etc)
  • Attend meetings/committees as needed
  • Develops and trains staff as needed
Qualifications for regulatory initiatives
  • Experience driving large initiative across multiple functional groups
  • Ability to engage/ communicate to senior audience with experience creating presentations
  • Strong experience with collaborating on documentation and building consensus virtually and across time zone
  • Able to work independently and manage through ambiguous tasks
  • Good knowledge of Asset Servicing products and services
  • A good understanding of regulatory matters and regulatory developments relevant to the Investment Servicing business generally
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Regulatory Initiatives Job Description

Job Description Example
Our growing company is hiring for a regulatory initiatives. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory initiatives
  • Responsible for identifying areas within the strategic projects requiring Regulatory Affairs coordination to support and improve the company's compliance to regulatory requirements
  • Proven ability to deliver on complex regulatory change initiatives
  • Ability to deal with ambiguity and manage stakeholders globally and across multiple functions
  • Excellent organizational skills, with the ability to work in a fast-paced environment and manage priorities
  • Prior experience working with the trading function within a financial institution
  • University degree with a minimum of 8 years experience in Capital Markets
  • Actively participate in Health and Safety initiatives and make safety the top priority
  • Uphold the Code of Entegrity by making ethical business decisions and choices
  • Support the operationalization and evolution of the operating model for regulatory changes across IIW
  • Be the business subject matter expert on regulatory changes
Qualifications for regulatory initiatives
  • 8+ years’ experience in Product Control and Regulatory or External Reporting required
  • Ability to influence and facilitate desired actions from virtual teams
  • Good analysis skills in relation to analysis of core legislation and regulation
  • Must be self-sufficient in the management of projects, production of reports, presentations and spreadsheets
  • Good IT skills and experience of using Sharepoint or similar systems as a tool to improve efficiency of working practices
  • Educated to degree level or with equivalent experience - in business / management related area or

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