Director, Regulatory Practices - Enterprise Services Risk

About the role

The Enterprise Services Risk organization is expanding with a focus on attracting innovative, pioneering, collaborative, and highly skilled professionals. We operate at the forefront of risk management, providing support for novel and developing technologies, as well as critical business strategies. Diverse perspectives and experiences are valued as we work to redefine the financial sector.

Responsibilities

• Operate within a highly collaborative team environment, manage time with a sense of urgency to ensure regulatory deliverables are completed within established timeframes
• Develop and maintain the methodology, engaging the right business leaders and resources, and driving the prep work to meet with and respond to regulators
• Utilize a proactive and consistent approach relying on clear milestones, expectations, roles and responsibilities, along with risk intelligence, strategic direction, and collaboration
• Ensure that processes are well managed through the creation and maintenance of process documentation and tools
• Support regulatory engagement planning, management, and reporting across Enterprise Services functions
• Career development and coaching of junior staff
• Coordinate regulatory reporting and key updates for senior management, synthesizing regulatory developments into clear, concise, and actionable summaries
• Provide proactive and on-going regulatory intelligence to the divisions to ensure they remain well-managed
• Provide proactive insight into upcoming engagements using intel gathered throughout the process including historical insights
• Connect dots across regulatory interactions and driving internal awareness among Enterprise Services Risk, Regulatory Affairs, and business leadership across the enterprise, of focus areas and potential sensitivities to minimize regulatory risk, and ensuring the enterprise is meeting expectations set forth by law, regulation, and agency guidance
• Prepare senior leaders who meet regularly with Regulators to provide an update on performance, progress on large initiatives, and provide deep dives as needed to address questions or provide additional context
• Contribute to a readiness assessment of the end to end process being examined to identify any control gaps or weaknesses, potential issues and potential emerging risks
• Oversee and review regulatory responses across the full lifecycle, including facilitating integration and prioritization of various regulatory commitments into proactive risk management efforts, in collaboration with other risk partners
• Drive consistency and automation in all reporting and processes
• Lead the coordination of timely and accurate responses to inquiries, requests, and reporting requirements issued by regulatory bodies, ensuring consistency
• Monitor remediation efforts and corrective actions of findings and risks to ensure implementation by deadlines
• Assist with documentation on finding remediation efforts including iterative milestone deliverables and overall finding completion, manage list trackers, and evidence

Qualifications

• Bachelor's Degree or military experience
• At least 7 years of experience in Risk Management, Process Management, Project Management, or a combination of these
• At least 7 years of experience working with regulatory agencies, financial services institutions, consulting, or internal Audit
• At least 3 years of experience in people management

Preferred Qualifications

• 4+ years of people management experience
• 8+ years of experience in Risk Management, Process Management, Project Management, or a combination of these
• 8+ years of experience working with regulatory agencies, financial services institutions, consulting, internal Audit, technology, or cyber security
• 8+ years of experience supporting integrated projects or programs where both internal senior leaders and external stakeholders are your customers
• 8+ years of experience working for a regulatory body
• Risk Certifications (CRISC, CISM, CRCM, CIPP, or ABA Risk Management Certification)