New York, NY
Partner with the Chief Regulatory Officer by taking an active role in Wealth Management regulatory functions as it relates to proposed rules, approved rules, regulatory issues and regulatory risk.
- Manage responses to regulatory inquiries and compliance implementation processes.
- Review regulatory enforcement activities to assist in assessing regulatory view of risk.
- Advocate for regulatory projects as part of demand management; working with other areas to effectively prioritize projects including partnering with colleagues in operational risk, development, and product management.