Vice President, Regulatory Exam Lead

About the Company

Expanding provider of investment management, research, & trading services

Industry
Financial Services

Type
Public Company

Founded
1792

Employees
10,001

Categories

• Financial Services
• Investment Management
• Consulting & Professional Services
• B2B
• Asset Management
• Boston
• Finance
• Insurance
• Publicly Traded
• Angel Investment
• Banking

Specialties

• Investment Management
• Custodian
• ETF
• Financial products
• Fund Accounting
• Relationship Management
• Research
• Trading
• and Investment Servicing

Business Classifications

• B2B

About the Role

The Company is seeking a Regulatory Exam Lead at the Vice President level to join their team. The successful candidate will be responsible for the development and execution of the regulatory examination program, working closely with the global head of examination management and other exam leads. This role involves maintaining positive relationships with examiners and internal stakeholders, excellent communication skills, and the ability to partner with and influence stakeholders. The Lead will be involved in examination planning, pre-examination readiness exercises, and will ensure the quality, accuracy, and completeness of regulatory responses. They will also establish preparation meetings, prepare briefing notes, and coordinate with multiple teams to meet examination deliverables.Candidates for this role should have a minimum of 7-10 years' of management experience in financial services, particularly in disciplines such as bank regulation, compliance, audit, or equivalent. A sound understanding of at least one risk discipline, whether financial or non-financial, is essential. The role requires the ability to work across multiple internal stakeholders, effective written and verbal communication skills, and the ability to manage multiple projects and deadlines simultaneously. While a Bachelor's degree is preferred, the company values diverse backgrounds and experiences, and the ability to adapt to change, innovate, see the bigger picture, make data-driven decisions, and be a good team player is highly regarded.

Hiring Manager Title
Global Head of Examination Management

Travel Percent
Less than 10%

Functions

• General Management