Senior Process Manager - Regulatory Governance, Vice President

The Regulatory Governance team sits within AWM's Chief Administrative Office and oversees the Legal & Regulatory Change Management (LRCM) process for AWM.

LRCM is the formal change management process for legal developments and/or regulatory changes.

Key stakeholders to this process include Legal, Compliance, Risk, Control Management, and the Business.

When relevant regulatory events are identified which require an update to processes, systems, policies, or procedures, each impacted business leverages existing change management processes to review the required changes and make necessary enhancements.

As a Senior Process Manager in the AWM Chief Administrative office, you are responsible for overseeing changes and coordinating updates to Policies and Standards for impacted AWM teams ensuring adherence while coordinating changes to documents/processes where needed.

The Senior Process Manager will also be responsible for leading the Quality Assurance process for regulations impacting AWM, identified by the Office of Legal Obligation (OLO).

This role involves collaboration with Legal, the Business, Compliance, Risk, and other key control functions to manage regulatory changes and ensure compliance within AWM.

Job Responsibilities:


* Office of Legal Obligations (OLO) Program Support, partner with the AWM OLO Sustainment team to ensure the integrity of obligation mapping, negative confirmation, and Regulatory Event Notification (REN) reviews in the Enterprise Library Application (ELA).


* Quality Assurance and Testing, Perform QA sample testing to pre-defined test scripts on a quarterly basis.

Execute additional Quality Assurance Reviews or targeted reviews as needed.


* Identify issues that could result in potential failures or recommendations to the AWM LOB.


* Perform horizontal testing across Sub-LOBs within AWM to identify potential inconsistencies in mapping to obligations.


* Document and communicate any identified 'best practices.'


* Policy and Standard Process Management, Oversee the annual review for Policy And Standard documents owned by AWM, ensuring compliance with Firmwide governance requirements.


* Act as Single Point for the Office of Document Governance (ODG) representing AWM for input on new/updated Firmwide Policy and Standards.


* Review and challenge new policy/standard requests before ODG review.


* Submit and track exception requests to Firmwide governance requirements, including submission, decision, expiration, annual renewal, and completion.


* Project Management and Additional Assignments, As needed participate in regulatory and change management projects within Asset & Wealth Management (AWM), ensuring alignment with Firmwide objectives and regulatory requirements.

Required qualifications, capabilities, and skills:


* Bachelor's degree (BS/BA) with a background in Risk Management, Controls, Compliance, and/or Audit.


* Ability to understand and interpret legal documents...