Associate Vice President, Regulatory Relations

Associate Vice President, Regulatory Relations

About the Company

Top-tier investment bank

Industry

Investment Banking

Type

Privately Held

About the Role

The Company is seeking an AVP for Regulatory Relations to join their team. The successful candidate will be responsible for supporting the management of supervisory examinations and ongoing regulatory monitoring activities. This includes tasks such as scheduling, coordination, and documentation, as well as setting up exam SharePoint sites, tracking regulatory requests and responses, and preparing internal materials for regulatory meetings. The role also involves drafting regulatory response documents, taking meeting minutes, and assisting in managing firmwide regulatory remediation efforts.

Applicants for the AVP, Regulatory Relations position at the company should have a strong background in regulatory compliance and a deep understanding of the financial services industry. The role requires the ability to draft and manage various regulatory documents, as well as to facilitate the timely resolution of issues among stakeholders. The ideal candidate will be detail-oriented, have excellent communication skills, and be adept at data analysis. A collaborative approach is essential, as the role involves working closely with the Regulatory Change Management Team and other internal committees. A degree in a relevant field is typically required, and professional certifications in compliance or risk management are a plus.

Travel Percent

Less than 10%

Functions

• Finance