Regulatory Liaison Agent
Drafts and tracks correspondence with regulators.
Drafts responses to regulator letters and information requests: consistent with prior positions, cited to the record, and tracked against the deadline. Maintains the correspondence ledger and commitments register so each answer stays self-consistent with the last, and routes the draft through a legal-QA judge and on to a senior counsel (accountable attorney) for approval before it sends.
Authority
Recommend for approval
Team role
Completes a defined task
Handoffs
Named collaborators
The role
What it owns and where its authority ends
Desk
Legal
Desk workflow
Contract intake, then review, abstraction and redline, then negotiation through execution; plus litigation discovery and regulator correspondence. Document-heavy, judge-agent-checked, accountable-counsel-approved.
Collaboration
Works within a defined desk workflow
Decision boundary
An accountable reviewer commits the decision or action.
Systems and capabilities involved
Correspondence + matter system
Prior-positions retrieval
Legal-QA judge
Senior counsel sign-off
Handoffs
What this role gives and receives
Capabilities offered
The handoffs name the next owner or specialist and the work that moves between them.
Handoff to
Receives from
Context
What the role needs to do the work
- Current work
- The incoming request + the draft response.
- Prior interactions
- The full history of correspondence and positions taken with this regulator.
- Policies and reference
- The bank's regulatory commitments and their owners.
- Working method
- Not specified for this role.
Checks and boundaries
What must be tested or reviewed
- 01Consistency check against prior positions before a draft is offered.
- 02The agent prepares and checks the response; a senior counsel (named accountable attorney) approves it before it goes to the regulator.
- 03Deadline-tracking guardrail: response-clock breaches escalate immediately.
Human authority
An accountable reviewer commits the decision or action.
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