Exam Management Manager in Dallas, TX

$200K - $250K(Ladders Estimates)

Texas Capital Bank   •  

Dallas, TX 75201

Industry: Finance & Insurance


11 - 15 years

Posted 52 days ago

This senior level role will manage, monitor and facilitate regulatory exams and monitor internal audits. This role is responsible for providing effective oversight of the Bank's regulatory relationship from coordination of regulatory examinations to interpretation of information requests to the coordination of meetings and documentation in response to regulatory requests. This role is a key monitoring role within the Bank to identify emerging regulatory trends and communicate those trends to executive and senior leaders throughout the Bank via direct interaction and through the risk committee structure. The role is critical to managing the regulatory risks and ensuring ongoing positive relationships and open dialogue with regulators and internal audit. Additionally, this role acts as a liaison between regulators/internal auditors and the business lines to ensure timely, complete, accurate and actionable responses to regulatory concerns or internal audit reportable issues. The emphasis for this senior level role is successful examination outcomes and internal audit ratings.


  • Provides senior level thought leadership on regulatory and internal audit issues.
  • Provides senior level thought leadership on applicable economic and industry trends.
  • Prepares Bank executive, senior and front-line management for emerging regulatory risks, issues and trends.
  • Advises and guides Bank management and staff on responses to regulators and internal auditors and escalates to Bankexecutive management any matter that can negatively impact relationships with regulators or internal auditors.
  • Assist with the creation and implementation of the Bank's Examination Communication Protocol.
  • Facilitate regular meetings with lead regulators and senior internal audit staff to ensure open communication and maintain strong and positive relationships.
  • Works closely with Bank senior management to assist in preparing for examination management process.
  • Partner with Bank senior and front-line level management to determine corrective action and mitigate exposures for any emerging issues from regulators and internal audit by ensuring suitable accountability and resolution activity.
  • Provide reporting to all relevant Tier I, II, and III risk committees of all emerging issue trends identified by regulators andinternal audit.
  • Ensure appropriate Board level reporting of regulatory concerns and audit trends.
  • Review available exam/audit information (request/announcement letters, scope letters, etc.) to assess the impact for the exam onthe business line(s).


  • Bachelor's degree in Business-related field required; relevant graduate degree preferred.
  • 10+ years of financial services industry experience with a minimum of 5 years in a role directly interacting with regulators or aminimum of 3 years as a regulator / bank internal audit.
  • 5 or more years of demonstrated ability to lead people in accomplishing positive outcomes.
  • Demonstrated experience collaborating with executive and senior level management to influence decisions and promote successful issue resolutions.
  • Experience with the most complex regulatory examinations.
  • Strong negotiation and influencing skills.
  • Strong dedication to ethics and integrity and demonstrated ability to produce high quality results and meet deadlines despite competing priorities.
  • Specific knowledge of risk management frameworks, audit risk assessments, corporate governance, process improvement,project management, bank operations, products and services, and/or regulatory environment and expectations preferred.
  • Preferred OCC Bank Examiner or TCB Internal Audit experience.

Valid Through: 2019-10-17