Position Details  

Client: Banking  

Title: Regulatory and Audit Consultant 

Location: New York, NY 10013 (Hybrid)

Duration: 6 months + Possible extension  

Schedule: Shift hours: Basic Business Hours  

Start Date: ASAP  

Job Description: 

• Must have Strong MS office skills, organizational skills and communication skills are required.
• Regulatory/Internal Audit experience is not required, but would be very helpful. 

• Serve as a member of the Services Regulatory Management team for bank Services businesses, responsible for the promotion, support, monitoring, reporting and leadership on bank interactions with its Prudential regulators. 

• The Services Regulatory Management team is responsible for leading the execution of regulatory interactions with U.S. prudential regulators for the Treasury and Trade Solutions (TTS) and Securities Services (SS) businesses.  

• In addition to facing the regulators as the primary contact point, the team engages with senior management of the business, its functional partners as well as second and third lines of defense. 

Key Activities include: 

• The Regulatory and Audit Consultant role offers a unique opportunity to contribute to the regulatory environment, manage large programs and engage across all levels of the Services organization. 

• Support interactions with regulators and internal stakeholders, including but not limited to: the coordination and management of events related to examinations, ongoing supervisory meetings and requests for information for Services. 

• Assist in facilitating meetings, discussions and communications as well as preparing the business stakeholders for meetings with regulators 

• Prepare reporting for senior management that provides regulatory trends, potential impacts and helps drive proactive regulatory engagement. 

• Perform quality reviews of information provided by the Services business to U.S. prudential regulators to drive consistency, completeness and timely submission. 

• Enter regulatory activities in the Firm’s system of record (Regulatory Engagement Tracking – RET) and maintain the Services regulatory calendar. 

• Analyzing, digesting and summarizing information/documentation responsive to regulatory requests. 

• Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents. 

• Execute ad-hoc projects as well as additional duties, as assigned. 

Qualifications: 

• Basic knowledge of the regulatory engagement process (including understanding of U.S. prudential regulators) or internal audit experience 

• Excellent written and verbal communication skills 

• Excellent technical skills (SharePoint management, Excel, PowerPoint and Word) 

• Strong planning, organizational skills with attention to detail and capability to handle multiple projects simultaneously 

• A general understanding of banking regulations is helpful, and knowledge of the Services businesses is a plus 

• Familiarity with control management and Issue management 

• Must be a self-starter, with ability to adapt, multi-task, be flexible and innovative 

• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization 

• Proven ability to build and maintain relationships. 

• Ability to work both collaboratively and independently; ability to navigate a complex organization 
• Prior experience in project/program management a plus 

Experience: 

• 6-10 years of relevant experience in regulatory management, internal audit, control management, compliance or a similar role within the financial services industry. 

Education: 

• Bachelor's Degree required.