Regulatory Control Lead – Asset and Wealth Management Regulatory Controls (ARC)
Join a strategic controls team that helps Asset and Wealth Management navigate an evolving regulatory landscape. In this role, you will provide regulatory engagement leadership, strengthen transparency and governance, and help teams prepare for regulatory interactions with confidence. You will partner closely with stakeholders across lines of defense and functions to anticipate risks, drive consistent execution, and deliver practical solutions. If you enjoy working at the intersection of regulation, controls, and business priorities, this role offers high visibility and impact.
As a Regulatory Control Lead in the Asset and Wealth Management Regulatory Controls team, you will proactively identify regulatory engagements that impact the business, assess scope and exposure, and support stakeholders throughout the regulatory engagement lifecycle. You will help enhance frameworks for engagement governance, commitments, management responses, and lessons learned. You will also provide executive-ready reporting, promote best practices, and support a culture of continuous improvement across regions and stakeholder groups.
Job responsibilities
- Serve as the primary regulatory point of contact and trusted advisor for matters impacting Asset and Wealth Management, with a primary focus on EMEA
- Design, implement, and continuously improve frameworks for regulatory engagement governance, commitments, management responses, issue management, and lessons learned
- Provide consistent and timely reporting on regulatory engagements, issues, priorities, and commitments to increase transparency and accountability
- Lead regulatory engagement coordination across preparation, fieldwork, and management response phases, reviewing submissions for completeness and quality
- Build strong partnerships across the first and second lines of defense, Legal Entity management, Legal, Regulatory Management, and Control Management
- Lead or support identification, escalation, and resolution of regulatory issues, coordinating with impacted teams to drive timely outcomes
- Prepare stakeholders for regulatory engagements through targeted deep dives, guidance, and preparation sessions
- Drive consistency and calibration across cross-business regulatory engagements, aligning approach across impacted teams, legal entities, and functions
Partner with local Control Management teams on strategic initiatives and projects that strengthen controls and operational excellence
Required qualifications, capabilities, and skills
- At least 6 years of relevant experience in financial services, regulatory programs, Legal, Compliance, Risk Management, or a related area
- Strong program and project management skills, including the ability to anage multiple priorities under tight deadlines with high attention to detail
- Strong analytical and problem-solving skills with an inquisitive mindset and a focus on anticipating stakeholder needs
- Excellent written and verbal communication skills with the ability to tailor messaging to different audiences
- Strong collaboration skills and the ability to influence effectively across multiple stakeholders and a complex organizational structure
- Proficiency with Microsoft Office (Word, Excel, PowerPoint)
Familiarity with artificial intelligence and large language model concepts
Preferred qualifications, capabilities, and skills
- Experience supporting regulatory engagements, regulatory issue management, or regulatory reporting in a controls environment
- Experience partnering across multiple regions and lines of defense in a matrixed organization
- Experience improving governance frameworks, operational controls, and engagement playbooks