Compliance Analyst

Regulatory Officer/Associate Level

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.
• Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports.
• Maintaining regulatory communications, transmittal letters, management responses, and remediation actions.
• Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution.
• Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed.
• Assist with West Coast Governance Committee meetings