Job Description

Asset & Wealth Management, Regulatory Management - Regulatory Traceability, Vice President - Dallas location_on Dallas, Texas, United States

YOUR IMPACT

The Asset & Wealth Management Strategic Transformation Office is a recently established entity tasked with overseeing comprehensive large-scale transformations. Our primary objectives are to enhance scalability, drive revenue growth, improve client experience, and elevate controls to optimize our operating platform. This group comprises four critical functions, including (1) Product Management & Design, (2) Change Management, (3) Regulatory Management, and (4) Monitoring & Testing.

The AWM Regulatory Management team manages the regulatory strategy and roadmap for the AWM business globally. As the key business partner for regulatory matters, the team is responsible for (1) Regulatory Solutions; assessing the impact of regulations on business activities and (2) Regulatory Controls; ensuring a robust control framework is in place to evidence compliance.

Our team is seeking a professional to support regulatory inventory and traceability activities, which entails executing regulatory objectives across second line teams. The candidate will be responsible for evaluating regulatory requirements related to identifying and assessing potential consumer impact and supporting linkages between regulatory requirements to the firm’s risks and controls.

HOW YOU WILL FULFILL YOUR POTENTIAL

• Support the design and implementation of strategic and sustainable regulatory inventory and traceability process, with alignment to the Risk Management Framework.
• Manage regulatory mapping activities to assessment units, processes, risks, controls, and policies and oversee consistency across pillars and divisions.
• Develop comprehensive action plans to ensure control environment is fit for purpose, with consideration to regulatory obligations.
• Engage key stakeholders to make strategic decisions, prioritize implementation plans and manage volumes.
• Facilitate reporting and information sharing.
• Partner with and direct vendors to deliver against GS expectations, including identifying opportunities for automation and strategic engagements.
• Manage requests and exams from outside regulators and internal audit.
• Represent Regulatory Management in second line led remediation efforts.

SKILLS & EXPERIENCE WE’RE LOOKING FOR

• Bachelor’s degree and 5+ years of experience in management consulting or related field in financial services.
• Understanding of the asset management regulatory landscape, operating models, and ecosystems.
• Demonstrated proficiency in leading risk and control self-assessments or regulatory mapping exercises, including the design of key controls.
• Exceptional analytical, problem-solving, and critical thinking skills with a proven track record of execution against deadlines.
• Strong project management skills including definition of business case and scope, articulation of issues, challenges, risks, dependencies, and solutions.
• Experience in developing informative metrics and undertaking quantitative analysis to assess the effectiveness of the regulatory control environment and inform executive decisions related to regulatory strategies.
• Strong communication and relationship-building skills with ability to influence all levels of staff to drive change.
• Professional experience in handling various regulatory change objectives in the financial services industry is preferable.
• Ability to multi-task and manage and advance multiple projects simultaneously.
• Proficiency in MS Office, PowerPoint, and Excel, with an ability to learn new tools quickly.

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