Description
Job Summary: Acts as consultant on significant regulatory investigations. May oversee efforts to respond to regulatory inquiries. Coordinates efforts with team of associates responsible for performing complex analysis to identify and minimize legal and regulatory risk exposures. Coordinates with internal legal counsel and outside legal counsel, when engaged, on regulatory investigations. Interface with regulators, key business unit associates, and key support unit associates. Prepares reports on regulatory investigations to assess and analyze risk exposure and to provide status for enterprise executives, business segment heads, and risk management executives.
Qualifications
Required skills:
Extensive knowledge of securities regulations, investment advisor regulations, banking regulations or extensive knowledge of business.
Desired skills:
JD or MBA preferred.
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