Regulatory Management Job Description
Regulatory management
provides regulatory reporting treatment advice to business partners and assess the impact of new business/products on regulatory reporting.
Regulatory Management Duties & Responsibilities
To write an effective regulatory management job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory management job description templates that you can modify and use.
Sample responsibilities for this position include:
Lead the production of external regulatory communications and reporting
Manage the QA Panel for IB Controls Regulatory committed deliverables, with participation from MD/D level mgmt
Raise the technical knowledge of the group through various courses, seminars and in-house training in the areas of regulatory compliance on a global perspective and related risk management framework and audit techniques
Providing status reports and escalate issues to management, as appropriate
Ensure timely delivery of work
Act as the expert in compensation risk management, leading the end-to-end Compensation Risk and Performance Adjustment Process and related processes in select geographies
Lead the completion of the annual material risk takers review
Drafts correspondence with regulators regarding compensation matters and prepares annual business specific compensation submissions or statements
Assesses the impact of new regulation and works with business and functional partners to identify and implement action plans
Prepares compensation regulatory updates for the Human Resources Committee of the Board of Directors (HRC) and other committees, as required
Regulatory Management Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Management
List any licenses or certifications required by the position: PMP, CAMS, CRCR, CPAT, RAC, CFCS, PRM, FRM, CFA, RA
Education for Regulatory Management
Typically a job would require a certain level of education.
Employers hiring for the regulatory management job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Education, Management, Finance, Technical, Life Sciences, Science, Graduate, Engineering, Accounting
Skills for Regulatory Management
Desired skills for regulatory management include:
Application of concepts
Principles
Technical capabilities to perform varied tasks
Background in regulatory matters
Regulators’ exam processes
Regulatory requirements and utilizes depth and breadth of experience to assess regulatory changes
Risk and business impact
Applicable internal and external quality standards
Laws and regulations for KC businesses and products
Sale and distribution of drugs and medical devices
Desired experience for regulatory management includes:
4+ years of working knowledge of Bank Holding Company (BHC), CCAR
Working knowledge of Investment Banking / Financial Services products
Graduate degree, particularly a Bachelor of Laws, or regulatory experience at a senior level is strongly preferred
Thorough knowledge and understanding of, and experience with, the practical application of relevant securities rules and regulations and other applicable regulatory requirements, including insurance
Superior drafting skills, including policies and procedures and executive reporting
Ability to learn and adapt quickly in order to gain a solid understanding of the Wealth Management’s businesses, organizational structure and regulatory framework
Regulatory Management Examples
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Regulatory Management Job Description
Job Description Example
Our company is growing rapidly and is hiring for a regulatory management. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regulatory management
- A bachelors degree in economics, law, or the equivalent qualifications or experience
- An enthusiastic team player who has experience of managing others and is able to collaborate effectively to get things done
- Proficient in the use of Microsoft Office applications, in particular PowerPoint
- Capable of managing multiple projects under time constraints, with the ability to rapidly adapt as issues arise and develop
- A creative problem-solver able to build trust and sustain relationships, handle conflict and pressure, deal with sensitive tasks and issues
- Work closely with Banking Deposit Group Product Managers to develop understanding of current products and assist with review of "new" products from a regulatory requirements standpoint
- Monitor applicable federal, state, and local laws and regulatory updates provided by WM Compliance Advisory and Legal and assist the business with developing KOPs and the implementation of any new regulatory requirement
- Assist business with internal risk assessments
- Assist in facilitating the development and deployment of target regulatory training, new regulatory policy material and Level 1 testing
- Assist the business with troubleshooting and resolving issues found to be out of compliance and insure policy and procedures are implemented to prevent future issues
Qualifications for regulatory management
- Subject matter expertise in understanding, evaluating, and synthesizing complex regulatory and legislative requirements
- Strong understanding of both Canadian and US regulatory landscape affecting Wealth Management
- Related degree in business, law, finance and/or equivalent
- 3-5 years of experience in a regulatory and/or legal function within a wealth management business
- Establish & ensure a robust risk governance framework
- Establish and monitor risk limits for the legal entity
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Regulatory Management Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of regulatory management. 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 management
- Provide day-to-day support to staff on regulatory related questions and issues not supported by other AWM support areas
- Minimum 10 years lending and banking deposit industry experience
- Familiarity with laws and regulations applicable to banking and deposit industry
- Must have working knowledge of key banking regulations including but not limited to Reg A, Reg D, Reg W, Reg CC and Reg DD Proficient in Microsoft Office Understanding of federal and state regulations impacting Structured, CRE and Residential Lending a plus
- Proven analytical skills and well-developed organizational skills Superior verbal and written communication skills Strong problem solving and judgment skills as they apply to compliance and regulatory issues
- Excellent planning, organizational and prioritization skills Ability to handle multiple complex tasks and perform under pressure in fast paced environment while meeting deadlines Ability to work under pressure and deadlines with professionalism and tact
- Assist the team in functioning as gatekeepers for all Compliance-related Regulatory Exam Management across the region, performing the necessary triage, escalation, notification, reporting
- Facilitate partnerships with the corporate Regulatory Management team in ongoing enhancements to the various management tools and systems used by the firm
- Help ensure QA testing around adherence to Regulatory Exam Management frameworks is being completed
- Facilitate cross-regional sharing of key themes identified during exams held in the region to identify emerging themes of compliance/regulatory risk and enable management to conduct appropriate risk assessment and remediation in their respective businesses or locations
Qualifications for regulatory management
- Provide a reasonableness review of market and credit risk information contained in the regulatory reporting
- Actively engage with location risk managers (trading desk heads) to remain current on risks, business activity, exposures
- Help understanding the regulatory requirements around Credit and Market Risk in the Region
- 4years or above Market or Credit Risk Management related working experience
- Maintains good relations and a positive image with vendors and co-workers
- Operate independently on a day-to-day basis
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Regulatory Management Job Description
Job Description Example
Our growing company is hiring for a regulatory management. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory management
- Support the CCO’s in their regulatory relationship management through leveraging regional and global resources (as appropriate) to inform and supplement their dialogue
- Support the Regulatory Exam Manager in their role as the Central Point of Contact (CPOC) for the firm’s global regulatory management stakeholders, and as the accountable party for managing direct (APAC) interactions with out of region regulators (primarily FRB and OCC)
- Support the regional senior Compliance, Business and other functional management teams by keeping them appraised of noteworthy regulatory interactions, trends and issues arising and through active ongoing engagement with all designated Regulatory Engagement Managers (REM’s)
- Help maintain a centralized regulatory database for internal record keeping, tracking and information sharing of documents with internal stakeholders and regulatory agencies for regulatory exams, queries and surveys leveraging regional platforms and processes wherever possible
- Work closely with the Practices Regulatory Management team
- Ability to lead a global regulatory information management (RIM) deployment within the life sciences industry
- Educate clients regarding the process and data requirements needed to successfully deploy a RIM system
- Ability to lead strategy and road mapping discussions related to where the industry maturity and vendor solutions are headed related to RIM best practices
- Provide subject matter advisor support to clients related to ISO, IDMP, and XEVMPD standards
- Manage internal audit staff responsible for auditing Capital management-related functions other diverse lines of business and specialty areas
Qualifications for regulatory management
- Familiar with local laws and regulations
- Provide subject matter expert support to regulatory change and related projects
- Support the embedding of regulatory change management in the first line
- Facilitate education and awareness of regulatory change management
- Completing ad hoc regulatory risk and compliance related tasks to support the broader Group Compliance
- Involvement in ERM wide initiatives as appropriate to support business unit objectives and priorities
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Regulatory Management Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of regulatory management. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory management
- Communicate clearly with the project team and other key stakeholders
- Serve as a member of the RGA team, and engage in other activities, such as standard risk reporting or governance activities, as priorities and resources dictate
- Coordinate the production of regulatory deliverables
- Creates and maintains Submission Plans (Table of Contents, Timeline, and responsibility matrix)
- Coordinates submission documents (routing documents for review and uploading into the EDMS)
- Conducts kickoff, submission core team, and line function meetings
- Facilitates the resolution of timeline issues
- Provides requested submission documents to partners and CROs
- Maintains and tracks regulatory commitments
- Assists with reviewing and developing departmental procedural documents in accordance with Agency regulations and guidance
Qualifications for regulatory management
- 10+ years in a leadership role with relevant compliance management experience in a large complex banking organization with significant consumer banking activities, commercial and securities activities and/or relevant legal and compliance experience in large complex financial servicing organization
- Support the Regulatory Liaison officer in Japan and Foreign Offices where appropriate
- Attend the Japanese FSA meetings and report findings to Management
- Track the Japanese FSA's commitments its future actions in order to prepare for any changes in the market
- Provide various market updates and analysis to various stakeholders
- Track Status of any new upcoming regulation changes in the market
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Regulatory Management Job Description
Job Description Example
Our company is hiring for a regulatory management. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory management
- Assists with regulatory inspection activities
- Identifies and communicates regulatory system enhancement needs or technical issues to management and CDRA Systems
- Ownership of the Regulatory Quality System, and its applicable subsystems
- Provides oversight and direction to working teams responsible for ensuring adherence with applicable regulations through the creation, update and/or review of policies, SOPs and WI (work instructions) pertinent to the Global Regulatory Affairs department activities
- Ensures alignment of regulatory compliance with department and corporate objectives for assigned projects and management of all necessary process documentation and training to global regulatory affairs
- Serves as main host during regulatory agency and third-party inspections
- Assesses regulatory compliance risks, identify solutions to mitigate risk and lead to resolution
- Directs the design, development
- Implement and lead regulatory change in partnership with Technologies, Servicing, and Marketing
- Lead and own existing capabilities to deliver regulatory requirements
Qualifications for regulatory management
- Able to grasp difficult concepts quickly
- Bachelor's degree with Accounting as a major required, CPA is a plus
- Excellent data analysis skills, including the ability to write SQL queries and format large data sets in both Excel and Access
- Knowledge and/or experience of working in a Credit Risk Management environment
- Business Analysis background required with experience gathering, analyzing and documenting requirements
- Ability to create reports and present key findings in a clear and concise way