Job Description
Our client, a Financial Services company, is seeking a Regulatory SME:
We are seeking a highly skilled Regulatory Change Management Officer to join a leading financial institution's Regulatory Change Management (RCM) team. This role is not implementation-focused, but is essential for regulatory readiness, analysis, and oversight. Candidates should bring deep operational experience within regulatory change programs—not just implementation—ideally with a background in applicability assessments, horizon scanning, and regulatory inventory management.
Key Responsibilities:
Perform horizon scanning and monitor regulatory developments across ~280 U.S. federal and state regulators.
Route regulatory alerts to appropriate Compliance Subject Matter Experts (SMEs).
Conduct applicability assessments to evaluate the impact of new or amended regulations on business operations.
Maintain and update the regulatory requirements inventory.
Analyze and interpret regulations across various jurisdictions to support compliance readiness.
Draft a weekly regulatory digest summarizing relevant laws, rules, and guidance.
Track action plans, coordinate policy and procedure updates, and support reporting metrics related to RCM governance.
Collaborate with SMEs across Legal, Risk, Compliance, and Operations teams to ensure cohesive response to regulatory change.
Ideal Candidate Background:
~4–7 years of experience in regulatory change management, compliance, legal, or governance within banking or financial services.
~ Proven experience managing regulatory intake, analysis, and oversight programs in large or complex financial institutions.
~ Direct interaction with key regulatory bodies including the Federal Reserve (FED), NYDFS, FINRA, CFTC, OCC, SEC, etc.
~ Prior experience at a major financial institution (e.g., JP Morgan, major Japanese banks, or FBOs) is a plus.
Preferred Skills and Qualifications:
Bachelor’s degree required; JD or MBA strongly preferred.
Experience with regulatory bodies and understanding of laws impacting bank holding companies and foreign banking organizations.
Advanced proficiency in Microsoft Excel (e.g., pivot tables, VLOOKUP) and familiarity with SharePoint, MS Office Suite, and Lotus Notes.
Strong analytical, project management, and communication skills.
Former regulatory, compliance, legal, or consulting experience is highly desirable.
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