Director of Regulatory Compliance
Our client, a leading global wholesale bank, is seeking an experienced Executive Director - OCC & FRB Regulatory Compliance to join its U.S. Compliance leadership team. This is a high-impact role reporting into senior management, responsible for driving regulatory strategy, interpretation, and implementation across the bank's U.S. operations.
This hire will play a critical role in advising on and embedding OCC and Federal Reserve regulatory requirements, supporting regulatory change initiatives, and strengthening the firm's overall compliance framework in a complex, multi-entity environment.
Key Responsibilities
- Provide subject matter expertise and interpretive guidance on OCC and FRB regulations (e.g., Regulation W, supervisory expectations, and broader prudential standards) to stakeholders across the business.
- Lead the design, enhancement, and governance of the U.S. bank regulatory compliance framework, including policies, procedures, and controls.
- Drive regulatory change and remediation programs, translating evolving regulatory expectations into actionable business requirements and control enhancements.
- Act as a senior Compliance advisor to front office and infrastructure teams, delivering real-time advisory support aligned to regulatory obligations and firm risk appetite.
- Lead engagement with U.S. regulators, including the Federal Reserve and OCC, supporting examinations, inquiries, and ongoing supervisory interactions.
- Provide effective second line challenge, including oversight of monitoring, testing, and control frameworks across wholesale banking activities.
- Oversee regulatory remediation and issue management, ensuring timely and sustainable resolution of findings arising from exams or internal reviews.
- Partner with Legal, Risk, Audit, and business lines to enhance enterprise-wide governance and regulatory compliance culture.
- Lead, develop, and scale a team of compliance professionals, fostering strong stakeholder engagement and execution excellence.
Candidate Profile
- 12-18+ years' experience within Bank Regulatory Compliance or Legal at a large financial institution (wholesale bank, investment bank, or broker-dealer).
- Deep expertise across OCC and Federal Reserve regulations, with strong familiarity with U.S. bank regulatory frameworks and supervisory expectations.
- Proven track record managing regulatory examinations, remediation programs, and regulatory change initiatives.
- Demonstrated ability to operate at the Executive Director / senior leadership level, influencing stakeholders across multiple business lines.
- Strong experience in policy development, control design, and compliance advisory within complex banking environments.
- JD or advanced degree preferred but not required.
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