12 hours
2018-01-212018-02-20

Regulatory Inquiries Consultant

Bank of America
Charlotte, NC
  • Job Code
    bankofamerica-17076121CharlotteNC
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Company Bank of America

Job Title Regulatory Inquiries Consultant

Jobid bankofamerica-17076121CharlotteNC

Location: Charlotte, NC, 28230, USA

Description **Job Description:**



The role involves responding to regulatory inquiries and investigations involving the Global Banking and Markets Division. Candidate must possess knowledge of the broker dealer environment, including rules and regulations, specifically through experience. Candidate must be able to make moderately complex decisions and provide leadership on projects of moderate scope and complexity working either under the guidance of a manager or independently with limited direction. Role has extensive interaction with regulators, key front line unit associates, and key support unit associates to identify, research, analyze and respond to regulatory inquiries of a moderate scope. Role requires significant organizational and time management skill to manage concurrent inquiries in order to produce responses to regulators by pre-determined due dates.



Enterprise Description:



Acts as consultant on significant regulatory investigations. May oversee efforts to respond to regulatory inquiries. Coordinates efforts with team of associates responsible for performing complex analysis to identify and minimize legal and regulatory risk exposures. Coordinates with internal legal counsel and outside legal counsel, when engaged, on regulatory investigations. Interface with regulators, key business unit associates, and key support unit associates. Prepares reports on regulatory investigations to assess and analyze risk exposure and to provide status for enterprise executives, business segment heads, and risk management executives. Extensive knowledge of securities regulations, investment advisor regulations or banking regulations or extensive knowledge of business. JD or MBA preferred.



Required Skills:



+ 3-5 years Legal, Compliance, Risk, Audit experience and/or relevant line of business experience

+ Strong interpersonal skills; ability to interact with a broad variety of people at many levels inside and out of the firm.

+ Strong writing skills; ability to periodically prepare written responses to regulators.

+ Strong analytical skills; ability to use internal systems to collect information for regulators.

+ Bachelor’s degree or equivalent experience required



Desired Skills



+ Experience dealing with Regulators on routine inquiries preferred

+ Advanced degree



**Posting Date** : 11/17/2017



**Location** :

Charlotte, NC, HEARST TOWER, 214 N TRYON ST,

- United States



**Travel** : No



**Full / Part-time** : Full time



**Hours Per Week** : 40



**Shift** : 1st shift



**Assistance for Applicants with Disabilities**



Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .



**Diversity & Inclusion**



At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.



**Frequently Asked Questions**



Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.



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Regulatory Inquiries Consultant

Bank of America
Charlotte, NC

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Bank of America
Charlotte, NC

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