Regulatory Program Manager

The Regulatory Program seeks to help the Bank adjust to the new and ever changing regulatory landscape that it operates in. The candidate will ensure the smooth implementation of regulatory programs as they arise and ensure the banks internal finance, controls and reporting tools enable it to smoothly and effectively comply with regulations it is subject to. The Regulatory Program is intended to support Regulatory Projects for the US Branches, Broker Dealer, and Canada. Additionally, it will be supporting other related Regulatory Projects, such as remediation programs and several other internal projects.

The Regulatory Manager will be responsible for supporting the financial system needs of the Finance & Tax Regulatory Reporting Department. This includes understanding the various regulatory reporting requirements, the technologies used to produce the regulatory reports, such as Axiom, the reporting sources, key regulatory calculations and applicable GAAP knowledge. The candidate would be expected to use business analysis and project management skills to define new regulatory initiatives, define requirements, ensure development occurs on time, coordinate testing, and ensure smooth migrations with appropriate training and documentation.

Responsibilities of the Regulatory Manger include the following:

• Coordinate and drive the systems aspect of the regulatory program with key stakeholders across functions, business lines, and committees.

• Coordinate and drive effective systems implementation of Regulatory reporting tool. 

• Coordinate cross-functional / management iterative review and challenge assumptions, data, and processes.

• Maintain the vendor regulatory reporting tool for system enhancements, new regulatory reports and upgrades. 

• Liaise with IT, upstream data owners to ensure data meets quality standards for robust regulatory reporting 

• Liaise with senior finance executives to present dependencies and recommendations for efficient Regulatory reporting process for system and data.

The position also requires fulfilling the following responsibilities:

• Developing a clear vision of the program context and objectives and consistently ensuring that Finance's needs are being well served.

• Understanding and communicating the business justification for the program & sub-projects. 

• Ensuring effective coordination of all resources involved in the program, focusing in on identifying and managing interdependencies between groups.

• Managing stakeholder expectations, particularly as they impact Finance and ensuring that all groups’ requirements are being met by implementing the solutions we are developing.

• Establishing a schedule that meets the business needs and is achievable by the work streams involved.

• Managing the program risks and determining the appropriate actions for resolution.

Qualifications

• Bachelors in accounting, finance or economics preferred

• 7 – 10 years of financial services industry experience with systems implementation experience

• Working knowledge of current regulatory landscape preferred

• Broad knowledge of Investment Banking organization (Risk, Operations, Finance, LOBs, etc.)

• Demonstrable managerial or supervisory experience including project and production skills

• Ability to program manage end to end process, inclusive of all stakeholders, business and functional areas to ensure successful and timely delivery of requirements

• Proven ability to challenge processes and results and provide effective feedback and recommendations

• Strong attention to detail

• Strong verbal and written communication skills

• Ability to: 

o Influence and motivate others

o Adhere to strict project and production deadlines, showing strong planning and organization skills

• Proficient in Microsoft Office Suite (Word, Excel, Access, & PowerPoint)

• Ability to work independently

Additional Information

In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the U.S. without sponsorship and to complete the required employment eligibility verification document form upon hire.