Regulatory Initiatives Director

A leading wholesale bank is seeking a Director of Regulatory Initiatives to support the firm's response to regulatory remediation, supervisory feedback, and ongoing policy development impacting its wholesale and capital markets businesses.

This role will sit at the intersection of regulatory change, remediation execution, and policy governance, acting as a central coordinator across front office, compliance, risk, legal, operations, and technology. The successful candidate will play a key role in ensuring that regulatory findings, supervisory expectations, and internal control enhancements are translated into durable policies, operating frameworks, and sustainable remediation outcomes.

Key Responsibilities

Regulatory Remediation & Supervisory Response

• Lead and coordinate regulatory remediation initiatives arising from regulatory examinations, internal audits, and supervisory reviews.
• Own the end‑to‑end remediation lifecycle, including issue intake, root‑cause analysis, action plan design, execution tracking, and closure.
• Partner with business and control functions to ensure remediation actions are practical, risk‑appropriate, and operationally embedded.
• Support preparation for and management of regulatory examinations, inspections, and ongoing supervisory engagement, including the production of regulator‑ready documentation.
• Provide clear, structured updates to senior management and governance forums on remediation progress, risks, and dependencies.

Policy & Governance Frameworks

• Lead the development, review, and enhancement of regulatory policies and standards impacting wholesale banking and global markets activities.
• Ensure policies are aligned to evolving regulatory expectations and are clearly articulated, implementable, and supported by appropriate controls.
• Drive consistency across regions and business lines by embedding policy requirements into procedures, supervisory frameworks, and training materials.
• Maintain strong linkages between policy, controls, issue management, and regulatory obligations to support sustainable compliance.

Stakeholder Management & Execution

• Act as a trusted partner to Front Office, Compliance, Risk, Legal, Operations, Finance, and Technology stakeholders.
• Coordinate cross‑functional working groups and forums to deliver complex initiatives to agreed timelines.
• Support governance committees through clear, concise reporting and well‑structured executive materials.
• Contribute to the ongoing enhancement of the bank's regulatory initiatives and remediation operating model.

Required Experience & Qualifications

• Extensive experience (typically 10-15+ years) in regulatory initiatives, regulatory remediation, policy governance, or regulatory change roles within a wholesale or investment banking environment.
• Strong understanding of global markets businesses, including sales & trading, derivatives, and supporting infrastructure.
• Demonstrated experience delivering large‑scale remediation programmes and responding to regulatory findings or supervisory actions.
• Proven capability drafting and maintaining regulatory policies, standards, and governance documentation.
• Experience engaging with global regulators (e.g., SEC, CFTC, FINRA, PRA/FCA, ECB, or equivalent).
• Strong execution discipline, with the ability to manage multiple concurrent initiatives.
• Excellent written and verbal communication skills, with confidence engaging senior stakeholders.