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Regulatory Relations Specialist
Regulatory Relations Specialist-November 2024
Charlotte
Nov 14, 2024
ABOUT MERRILL
Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals and businesses. We focus on helping all clients pursue the
10,000+ employees
Financial Services
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About Regulatory Relations Specialist

  Job Description:

  The Regulatory Relations Specialist is responsible for the execution of the overall strategy for regulatory engagement and enterprise-wide standards. This includes assisting with the management of regulatory examinations, inquiries and meetings. Additional responsibilities include:

  Partnering with Global Regulatory Relations (GRR) and Front Line Unit / Control Function (FLU/CF) during the management of exams, inquiries and other regulatory matters in accordance with enterprise-wide standards.Collaborating effectively with FLU/CF stakeholders to execute enterprise-wide standards.Supporting regulatory exams to ensure consistent exam practices, successful execution, and reduction of risk exposure for the company. This includes ensuring timely response to regulatory inquiries; supporting the execution of ongoing supervision meetings; aiding with preparation of regulatory responses; as well as regulatory activity tracking, reporting and escalation.Maintaining quality records and documentation throughout the regulatory lifecycle, this includes tracking deliverable status, detailed meeting notes and recaps, archiving exam evidence, etc.Supporting critical logistics throughout the regulatory lifecycle, including building and systems access, site and room reservations, delivery of examination evidence through approved portals.Partnering with GRR colleagues to share best practices, identify regulatory themes and emerging issues.

  Required Skills:

  5+ years of experience in risk management, enterprise-wide role, managing regulator activities, project management or a combination of each.Experience planning and supporting large scale projectsAbility to drive projects to meet critical milestones and identify potential roadblocks for the teamStrong project management skills; attention to detail; ability to drive projects to conclusionAbility to manage multiple tasks and stakeholders at once, prioritize work flow and deliver results under pressure and time constraintsExcellent organizational skills with a keen ability to prioritize daily tasks with project work as well as ad hoc requestsProven verbal and written communication skills and presentation skillsAbility to synthesis information and summaries key themesStrong analytical skillsAbility to work under pressure, calmly within tight deadlines and escalate appropriately.Able to develop and maintain good working relationshipsSelf-starter, motivated and reliable; ability to work well and seamlessly within a team without a continuous high level of guidanceProficiency in using MS Word, Excel, PowerPoint, SharePoint and WebEx

  Shift:

  1st shift (United States of America)

  Hours Per Week:

  40

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