Vista previa de la oferta
Risk & Compliance Governance - Regulatory Exam Lead - Vice President
senior · Audit & Accounting
Join a governance team that helps the firm respond to regulators and internal auditors across EMEA and APAC with clarity, consistency, and confidence. You will coordinate requests for information end-to-end, clarifying what is needed, aligning owners, drafting and refining responses, and organizing evidence so submissions are timely and well supported. You will also help improve response templates and reporting so teams can move faster while maintaining strong controls.
As a Vice President within Risk Management & Compliance Governance Lead for EMEA and APAC, you will coordinate and deliver requests for information for regulatory examinations, internal audits, and governance forums for the firm’s Monitoring and Testing Program. You will work with testing, risk, and control partners across both regions to produce clear, evidence-backed responses, maintain defensible documentation, deliver leadership-ready updates, and help the organization stay exam-ready while continuously improving how it responds.
Help strengthen how we engage with regulators and internal auditors by delivering clear, timely, and well-governed responses that stand up to scrutiny. You will work across teams to build evidence-backed submissions, improve how we track and review deliverables, and keep documentation organized and audit-ready. If you enjoy solving complex problems, coordinating across stakeholders, and improving how work gets done, you will find meaningful impact here.
Job responsibilities
- Serve as the primary point of contact for regulatory examinations, audits, and reviews across the EMEA and APAC regions, relating to the Monitoring & Testing Program (governance and oversight).
- Coordinate interactions between regulators, auditors, and internal stakeholders and build and maintain strong relationships across countries and business lines
- Manage regulatory meetings and document submissions for the Monitoring and Testing Program and track and manage regulatory and audit requests, responses, and formal commitments
- Monitor, document, and report on examination findings and remediation action plans
- Produce regulatory metrics and reporting for the EMEA and APAC regions
- Prepare and deliver status updates and escalation reports to senior management
- Manage senior stakeholder review, alignment, and walkthroughs to support regulatory and audit preparation, response quality, and timely submission.
- Escalate issues impacting EMEA & APAC legal entities to appropriate stakeholders
- Facilitate effective communication with business units, control functions, and senior management
- Coordinate and drive closure of requests across both second line of defense and first line of defense teams, partnering with Control Management and TCOE as needed to ensure timely, complete responses and effective conclusion of actions.
- Identify process improvement opportunities and contribute to transformation initiatives
Required qualifications, capabilities, and skills
- Experience supporting regulatory examinations, internal audits, and/or risk and control governance.
- Experience managing end-to-end request workflows, including intake, requirements clarification, stakeholder coordination, and delivery tracking.
- Ability to draft and edit clear, evidence-backed written materials for senior stakeholders and external review.
- Strong senior stakeholder management skills, including the ability to lead review sessions, align on messaging, and support walkthroughs prior to submission.
- Strong project management skills, including planning, prioritization, and managing multiple concurrent deliverables under tight deadlines.
- Demonstrated ability to synthesize complex information from multiple sources into concise summaries and defensible narratives.
- Working knowledge of control testing and issue management concepts (for example: testing methodology, coverage, results, and validation).
- Ability to coordinate and drive closure of requests across first line of defense and second line of defense teams, including partnering with Control Management and TCOE to achieve timely, complete outcomes.
- Proficiency with Microsoft Office tools (Excel, PowerPoint, Word, and Outlook) for tracking, reporting, and document management.
- Ability to handle confidential information with sound judgment and attention to detail.
Preferred qualifications, capabilities and skills
- Experience coordinating regulatory or audit responses, including evidence compilation and formal closure/archiving practices.
- Experience creating executive-ready dashboards and status reporting.
- Knowledge of the EMEA and APAC Regulatory landscapes.
- Experience driving process improvement, standardization, or transformation initiatives.
- Familiarity with using automation or generative AI tools to improve drafting, consistency, or efficiency (with appropriate controls).