Opportunity Description
Onsite role
We are searching for a Regulatory Officer/associate level who will support regulatory examinations and/or advisory services. Responsibilities include but are not limited to:
• Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
• Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
• Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations.
• Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
We are searching for a Regulatory Officer/associate level who will support regulatory examinations and/or advisory services. Responsibilities include but are not limited to:
• Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
• Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
• Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations.
• Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
Ready to Apply?
Submit your application for Compliance Analyst at RSC Solutions
Apply for this Position