Digital Regulatory Advisor Sr Technical Architect – GRC

Team Overview

The Digital Risk Management organization is responsible for defining and governing the firm’s technology, cyber, and data risk posture across a complex financial services environment spanning both bank and broker‑dealer operations. The team ensures that risk management practices, controls, and governance processes align with evolving regulatory expectations and enable the business to operate securely, compliantly, and at speed.

Within this organization, the Regulatory Advisory function serves as the centralized capability responsible for interpreting regulatory requirements, translating them into actionable risk and control expectations, and ensuring the firm maintains a strong, defensible compliance posture.

The Regulatory Change & Advisory Lead is a Senior Individual Contributor role responsible for monitoring, interpreting, and operationalizing the regulatory landscape across technology, cybersecurity, and data domains.

This individual acts as a strategic advisor to senior leadership, bridging regulatory requirements with practical implementation across Digital and Business teams. The role requires deep expertise in financial services regulation, strong technical fluency, and the ability to influence outcomes without direct authority.

The individual will lead regulatory interpretation, ensure alignment between regulatory obligations and the firm’s control environment, and support regulatory examinations by serving as a key interface between regulators and internal stakeholders.

• Monitor and analyze evolving regulatory requirements across banking and broker‑dealer domains (e.g., FFIEC, SEC, FINRA, FDIC, NYDFS, OCC).
• Interpret regulatory rules and guidance, translating them into clear, actionable expectations for Technology, Cybersecurity, and Data teams.
• Provide authoritative guidance on regulatory applicability, scope, and impact to the organization.
• Maintain a forward‑looking view of the regulatory landscape, proactively identifying upcoming changes and implications.

• Serve as the primary regulatory advisor to Digital leadership.
• Assess current‑state capabilities against regulatory expectations and articulate clear gap positions and risk implications.
• Partner with domain leaders to define and prioritize remediation strategies and implementation roadmaps.
• Ensure consistent interpretation and application of regulatory requirements across the enterprise.

• Ensure regulatory requirements are accurately mapped to controls, policies, and standards.
• Validate that the control environment is designed effectively to meet regulatory expectations.
• Partner with control owners to enhance control design, documentation, and traceability.
• Drive alignment between regulatory requirements and internal frameworks (e.g., NIST CSF, COBIT, CRI Profile).

• Ensure appropriate control effectiveness testing strategies are defined and executed.
• Validate that evidence collection processes are sufficient, repeatable, and audit‑ready.
• Partner with assurance and testing teams to strengthen defensibility of control outcomes.
• Identify gaps in testing coverage and drive improvements in monitoring and validation.

• Provide senior advisory support for regulatory examinations and supervisory engagements.
• Act as a key interface with regulators, ensuring clear, consistent, and credible communication.
• Prepare teams for regulatory interactions, including interviews, walkthroughs, and document reviews.
• Review and quality‑assure materials submitted to regulators to ensure alignment with expectations.
• Coordinate responses to regulatory findings and track remediation activities.

• Establish and maintain visibility into regulatory changes, known gaps, and remediation progress.
• Deliver executive‑level insights on regulatory posture, risks, and priorities.
• Ensure stakeholders are informed of emerging requirements and required actions.
• Support governance forums with clear, concise…