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Regulatory Investigations Consultant - Global Banking & Markets

Charlotte, North Carolina

Job Description:

The Regulatory Investigations Consultant is part of a Legal team that has enterprise-wide responsibility for responding to regulatory or governmental inquiries that pose significant legal, economic or reputational risk to the company.  The consultant assists in conducting or coordinating the company's discovery and response efforts arising from regulatory inquiries or legal process and interacts directly with various internal and external parties in the course of such efforts.  The consultant is responsible for performing discovery management and complex analysis to assist management and counsel in identifying, assessing, and mitigating legal and regulatory risk exposure.  Common duties include discovery, collection, review, analysis, and production of physical documentation and electronically stored information that may be responsive to regulatory inquiries or legal process.  The position commonly interfaces and coordinates on assigned matters with internal legal counsel, external legal counsel, discovery management vendors, business unit management and staff, support unit staff, risk partners, and regulatory or government agency staff.  The consultant is also responsible for preparing regular reports on assigned matters to provide status to Legal Department management, business unit management, risk management and others.

Extensive knowledge of securities regulations, investment advisor regulations or extensive knowledge of an institutional broker dealer or GBAM business is desired.

Required Skills

Excellent written and verbal communications skills, including the ability to accurately draft, edit, and proofread communications.

Attention to detail.

Ability to think critically and present complex ideas clearly.

Excellent research skills for multi-jurisdictional issues, including knowledge of banking and securities rules and regulations.

Excellent project management and organizational skills.

Ability to manage timelines and prioritize numerous projects and demands simultaneously.

Technical knowledge and familiarity with various file types, data sources and applications.

Desired Skills

Experience with regulators preferred.

JD, paralegal or MBA degree and/or experience with regulators preferred.

Strong relationship management skills - able to influence across functional units.

Strong interpersonal skills to build relationships to achieve swift adoption of ideas.

5 or more years broker dealer experience in an operational, Compliance/Legal or front office environment.

Working knowledge of broker dealer back office and operational functions.


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No


Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
214 N TRYON ST, NC, Charlotte, 28255