Join a team at the forefront of regulatory programs and transformation, where you’ll help drive effective execution, strengthen ongoing monitoring, and support initiatives that enhance a strong risk and control environment. This role offers the opportunity to collaborate across teams, provide meaningful insights, and contribute to programs that support sustainable business practices and regulatory commitments.
As an Associate on the Regulatory Program and Transformation Monitoring Team, you will support the development, execution, and ongoing management of regulatory monitoring solutions. You will help produce oversight reporting, identify and escalate observations, coordinate follow-up activities, and support enhancements to processes, controls, reporting, and governance.
In addition to monitoring responsibilities, you will support regulatory programs and projects across the broader team. You will apply foundational project-management disciplines to help organize work, track deliverables, coordinate stakeholders, identify risks and dependencies, and communicate progress. The role is well suited for someone who has basic project-management experience, demonstrates strong organizational and follow-through skills, and is interested in developing the capabilities necessary to independently manage projects or workstreams over time.
Job Responsibilities:
- Support regulatory monitoring activities by developing an understanding of the processes, procedures, controls, and technology used to meet regulatory requirements.
- Partner with monitoring owners and stakeholders to design, develop, and maintain dashboards, reports, controls, and other solutions that identify potential gaps or weaknesses in regulatory frameworks.
- Analyze data and business processes to identify trends, themes, challenges, and improvement opportunities, and communicate observations clearly.
- Produce accurate and timely reporting that enables senior management and control partners to oversee the effectiveness of regulatory operating processes.
- Identify and escalate monitoring observations, coordinate follow-up activities, track items through resolution, and support corrective actions as needed.
- Execute monitoring lifecycle activities and governance checkpoints using appropriate process improvement, organizational design, change management, communication, and training strategies.
- Develop and maintain procedures, job aids, process documentation, training materials, monitoring roadmaps, and required records.
- Support regulatory programs, projects, and workstreams by maintaining project plans, milestone schedules, trackers, action logs, decision logs, and related materials.
- Coordinate project meetings, prepare agendas and supporting materials, document decisions and action items, and follow up with stakeholders on commitments.
- Monitor project milestones, deliverables, dependencies, risks, issues, and outstanding decisions, and escalate concerns in a timely manner.
- Deliver project updates and status reporting while coordinating across business, functional, and control partners to resolve open items and maintain progress against agreed objectives.
Required Qualifications, Capabilities, and Skills
- Three or more years of relevant experience in project management, regulatory programs, process improvement, controls, compliance, supervision, operations, data analytics, or a related field.
- Foundational knowledge of project-management disciplines, including project planning, milestone and action tracking, meeting coordination, status reporting, risk and issue identification, and stakeholder follow-up.
- Demonstrated ability to organize multiple priorities, maintain accurate project or monitoring documentation, and follow assignments through completion.
- Strong analytical and logical-thinking skills, with the ability to understand data, identify trends and themes, and evaluate complex business processes.
- Ability to communicate information clearly and concisely, both verbally and in writing, for audiences ranging from working teams to senior stakeholders.
- Strong attention to detail, sound judgment, intellectual curiosity, and a willingness to ask questions and learn.
- Ability to work collaboratively across business, functional, and control groups and build effective relationships with stakeholders.
- Ability to operate effectively in a dynamic environment, manage changing priorities, and bring structure to ambiguous assignments.
- Willingness to learn and apply the team’s project-management methodologies, governance practices, and tools.
- Proficiency with Microsoft Office, including Excel and PowerPoint, with the ability to learn additional project, reporting, data, and workflow tools as needed.
Preferred Qualifications, Capabilities, and Skills
- Bachelor’s degree or equivalent relevant experience.
- Experience in financial services, regulatory change, risk, controls, compliance, supervision, operations, or a related environment.
- Experience supporting projects or workstreams involving multiple business and functional stakeholders.
- Experience preparing dashboards, management reporting, procedures, process flows, presentations, or governance materials.
- Familiarity with wealth management, brokerage, banking, or related financial-services products and operating models.
- Interest in building deeper expertise in wealth management, regulatory programs, monitoring, and project management.