Regulatory Officer - New York, United States - Madison-Davis, LLC

Description

An investment bank located in Midtown Manhattan looking to bring on board a Regulatory Officer - Associate to join their team. The role is currently in a hybrid schedule (1-2 days in the office).

Responsibilities:

*Notifies senior management and other relevant personnel of upcoming examinations and advises on scope, focus of exam and expectations.

*Reviews document requests and previews with examiners to narrow and define focus of discovery.

*Facilitates the collection of documents before, during, and after on-site examinations review and performs due diligence review to ensure the quality of the documentation before submission to the regulators.

*Coordinates responses to regulatory inquiries to contribute to effective reporting and communication.

*Schedules and attends meetings with regulators and firm employees to ensure regulatory needs are addressed; documents the content of meetings and timely communicates to senior management and relevant parties.

*Follows up related to examination findings, works with relevant business units to ensure remediation plan meets regulatory requirements and improves future examination results; inputs findings into SharePoint and addresses any findings.

*Tracks status of regulatory inquiries, exams, reviews and findings and circulates information in weekly status reports.

*Maintains all regulatory correspondence, transmittal letters, management responses, and remediation action in a central repository.

*Escalates to management and relevant business units on potential issues observed during or outside the exams and reviews to ensure that those may be properly addressed as soon as possible.

*Develops and updates regulatory procedures manual and user manual for regulatory SharePoint sites.