VP Regulatory Exam Management

Job Description: VP, Regulatory Exam Management (NYC)A leading global investment bank is seeking a Vice President to join its Regulatory Exam Management team, based in New York (U.S. headquarters). Role Overview:Lead and manage regulatory examinations across wholesale business lines, including operations, finance, regulatory reporting, and sales & trading.Prepare senior business stakeholders for regulatory meetings and interactions.Support ongoing regulatory supervision activities, including recurring and ad hoc engagements with prudential and securities regulators.Provide timely updates to management, including escalation and resolution of key issues.Analyze and synthesize documentation in response to regulatory requests.Serve as a key liaison with regulators, building strong working relationships and ensuring clear communication of findings and remediation efforts.Draft and coordinate responses to regulatory inquiries, exams, and reports.Identify and articulate mitigating factors where appropriate during regulatory reviews.Track examination progress and contribute to internal reporting and issue management processes.Support the development and enhancement of compliance frameworks and processes.Participate in firm-wide regulatory and compliance initiatives.Scope & Responsibilities:Independently manage regulatory reviews, inquiries, and audits.Act as a subject matter expert within a defined compliance function.Serve as a primary point of contact for regulators, internal stakeholders, and auditors.Focus on short- to mid-term planning (6–12 months). Qualifications:7+ years of securities compliance or related experience.Strong knowledge of capital markets businesses, including operations, finance, regulatory reporting, and sales & trading.JD preferred but not required.Excellent communication skills (written and verbal) with the ability to engage senior stakeholders.Strong analytical skills, attention to detail, and sound judgment in complex regulatory matters.Proven ability to manage multiple projects and stakeholders in a fast-paced environment.Strong relationship management and stakeholder engagement skills. Education & Experience:Bachelor’s degree required (or equivalent experience).5–7+ years of relevant experience.Demonstrated ability to manage competing priorities and deadlines.Collaborative mindset with the ability to work across functions and levels.Proficiency in Microsoft Office (Word, Excel, PowerPoint).