Senior
Asset and Wealth Management - Regulatory Control Management - Vice President
The Asset and Wealth Management Regulatory Controls (ARC) team is a dynamic and strategic program within the Asset and Wealth Management Control Management organization. As trusted advisors and valued partners, we deliver a comprehensive and forward-looking overview of the regulatory landscape, offering deep analysis of regulatory impacts and emerging trends. Our team provides expert guidance, proactive solutions, and support throughout every stage of the regulatory engagement lifecycle
As the Regulatory Control Lead within the Asset and Wealth Management team, you will play a pivotal role in proactively identifying regulatory engagements that impact Asset and Wealth Management, assessing their scope, impact, and exposure, and anticipating potential vulnerabilities. You will help promote the team's ability to implement robust preventative controls, champion best practices, and foster a culture of continuous improvement. In this role, you will provide hands-on leadership and support throughout the regulatory engagement lifecycle, collaborating with stakeholders to deliver innovative solutions and ensure operational excellence.
Job Responsibilities:
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Be the Strategic Regulatory Partner. Act as the primary point of contact and trusted advisor for all regulatory matters impacting AWM Asia primarily, and more broadly across other regions, providing expert guidance and anticipating emerging regulatory issues.
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Shape the Regulatory engagement Model. Help design, implement, and continuously enhance frameworks for regulatory engagement, commitments, management responses, issue management, and lessons learned – driving best practices and transparency across the organization.
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Drive Transparency and Accountability. Deliver comprehensive, consistent, and timely reporting on regulatory engagements, issues, priorities, and commitments, ensuring stakeholders have a clear view of regulatory landscape and increasing transparency and accountability
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Lead Regulatory Engagement. Orchestrate preparation, fieldwork, and management response phases for regulatory engagements, reviewing submissions for adequacy and completeness, and providing guidance to key stakeholder.
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Foster Cross-Functional Collaboration. Build strong relationships with senior leaders and partners across 1st and 2nd Lines of Defense, Legal Entity, Legal, Regulatory Management, and Control Management, creating synergies and sharing insights across geographies and business lines.
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Champion Issue Management. Where appropriate, lead the identification, escalation, and resolution of regulatory issues, coordinating with impacted teams to drive timely and effective outcomes.
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Prepare and Empower Stakeholders. Equip key stakeholders for regulatory engagements through deep dives, tailored guidance, and robust preparation sessions.
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Drive Consistency and Calibration. For cross-business regulatory engagements, calibrate with the impacted teams, legal entities, and functions to drive a consistent approach.
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Support Innovation and Change. Partner with local Control Management teams on strategic initiatives and projects, contributing to a culture of continuous improvement and operational excellence.
Required qualifications, capabilities and skills:
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Minimum of six years of relevant experience, ideally within the regulatory or financial services industry, or with a background in Legal, Compliance, or Risk Management
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Familiarity with Artificial Intelligence, Large Language Models, and Microsoft Office Suite (Word, Excel, PowerPoint).
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Demonstrated excellence in project or program management, with strong organizational and problem-solving skills.
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Inquisitive mindset with a passion for understanding details, anticipating business partner needs, and proactively delivering effective solutions.
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Exceptional verbal and written communication skills, with the ability to tailor messaging to different audiences.
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Positive attitude, strong team spirit, and outstanding collaboration skills.
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Ability to navigate and influence within a complex organizational structure involving multiple stakeholders at various levels
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High level of accuracy and ability to manage multiple priorities under tight deadlines.
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