A large, complex wholesale banking institution is seeking a Regulatory Relations Manager to lead and coordinate the firm's day‑to‑day engagement with U.S. regulators. This role plays a critical part in managing regulatory interactions across the wholesale and capital markets businesses, ensuring communications are well‑governed, timely, and consistent with the firm's regulatory strategy.
The successful candidate will serve as a central point of contact between the bank and its regulators, partnering closely with Compliance, Legal, Risk, and Business stakeholders to support examinations, ongoing supervisory dialogue, and regulatory credibility.
Key Responsibilities
• Act as a primary liaison with regulators (e.g., Federal Reserve, OCC, SEC, FINRA) on matters impacting the wholesale banking platform.
• Manage regulatory engagement before, during, and after regulatory examinations, including coordination of meetings, document requests, and regulator communications.
• Prepare and facilitate regulatory meetings, including kick‑off, status, and close‑out sessions, and ensure appropriate preparation of senior stakeholders.
• Coordinate the drafting, review, and submission of regulatory correspondence, including exam responses, status updates, and remediation communications.
• Maintain clear governance, tracking, and documentation of regulatory interactions, commitments, and follow‑ups.
• Partner with Compliance Advisory, Regulatory Change, and Business stakeholders to ensure consistent messaging and execution of regulatory commitments.
• Provide senior management with clear reporting on regulatory themes, examination outcomes, and emerging supervisory expectations.
• Support continuous improvement of the firm's regulatory engagement and exam management framework.
Required Experience & Skills
• Demonstrated experience in regulatory relations, regulatory affairs, or exam management within a large wholesale or investment banking environment.
• Strong understanding of the U.S. regulatory landscape impacting wholesale banking and capital markets.
• Proven ability to manage complex, multi‑stakeholder regulatory interactions with professionalism and sound judgment.
• Excellent written and verbal communication skills, including experience preparing senior‑level and regulator‑facing materials.
• Strong organizational skills, with the ability to manage multiple regulatory interactions concurrently.
Preferred Qualifications
• Prior experience acting as a key point of contact for regulators during exams or ongoing supervision.
• Familiarity with Regulatory Compliance Management (RCM) frameworks and regulatory issue tracking.
• Experience supporting capital markets, investment banking, or other wholesale banking businesses.
