Manager, Regulatory Reporting Resume Samples

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D Boehm

Davonte

Boehm

460 Jazmin Road

Houston

+1 (555) 174 6488

460 Jazmin Road

Houston

Phone

p +1 (555) 174 6488

Experience Experience

Chicago, IL

Manager, Regulatory Reporting

Chicago, IL

Jaskolski-Schuster

Chicago, IL

Manager, Regulatory Reporting

Provide mentoring, guidance, and development opportunities for the Regulatory Reporting team
Management reports of fund performance
2)Perform thorough monthly ALRE data review and financial reconciliation against EGL
Provide leadership and direction for key initiatives within the firm
3)Work closely with technology teams, Finance and Product Control to investigate and resolve identified data gap /source data issues
Communicates ongoing issues with EMR applications that affects MACRA/MIPS or Meaningful Use performance with Local IT and/or the HSC technical team
Support senior leadership with close and calendar management for SEC/GAAP reporting

Houston, TX

Manager Regulatory Reporting & Controls

Houston, TX

Ullrich, Schinner and Brekke

Houston, TX

Manager Regulatory Reporting & Controls

AAFA Portfolio Risk Management
Technology project management
Presentation to Management Committee on Key Risk Indicators and Metrics (LOMC)
Accurate and timely local regulatory reporting
RBI RBS / statutory audit / internal audit
Implementation of Risk Regulatory Matrix for Credit Risk Unit
MIS & analytics

present

Los Angeles, CA

IT Project Manager Regulatory Reporting

Los Angeles, CA

Brekke, Thiel and Tromp

present

Los Angeles, CA

IT Project Manager Regulatory Reporting

present

Ensuring that projects are delivered in accordance with the RBS Project Management Methodology P3M
IT Project Management finance and regulatory reporting projects during all lifecycles from pipline to delivery
IT Project Management of Finance and Regulatory Reporting Projects
Deputy Team Lead responsibilities on Cost, People, Communication and Planning
Managing task force activities on critical operational issues
Deputy Team Lead responsibilities on Cost, People, Communication, Planning
Testing support responsibility during release cycles

Education Education

Bachelor’s Degree in Accounting

Boston University

Bachelor’s Degree in Accounting

Skills Skills

Prior experience of working in a Regulatory Reporting unit within in a financial services institution
Part-Qualified and Qualified Accountant
Extensive technical knowledge of EBA and FCA/PRA regulatory returns in respect of authorised banking Institutions and investment firms
Advanced technical knowledge and understanding of national and international regulatory environment (COREP & Basel 3)
Strong analytical & report (data governance/validation) writing skills
Good functional knowledge of a regulatory reporting system (ideally STB) and associated controls
Strong people management skills
Excellent written and verbal communication skills
Good working knowledge of the Microsoft Office suite of products, specifically EXCEL, ACCESS and WORD
Excellent persuading and influencing skills

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Manager Regulatory Reporting & Compliance Resume Examples & Samples

Qualified accountant (CGA/CMA/CA) plus 5 years experience on relevant roles of increasing responsibility
Strong knowledge of regulatory reporting for financial institutions to the various agencies in Canada (OSFI, CDIC, BOC, CBA, etc.)
Strong spreadsheet skills are essential with an ability to develop complex financial databases in a dynamic and time sensitive environment as well as linking data between PC’s and servers
Strong understanding of the Bank’s products and services as well as its subsidiary business units

Manager Regulatory Reporting & Data Business Support Resume Examples & Samples

This role is responsible for regulatory reporting pertaining to the HSBC Funds and needs to be aware of industry regulations
Post-secondary degree in business, finance, related field or equivalent experience
Effective management of project team, including stakeholders, internal and external vendors
Strong communication, analytical and problem solving skills
Strong judgmental skills to identify and resolve problems and make good decisions
Excellent organization skills. Ability to prioritize and multi-task effectively
Able to work and adapt in a fast changing environment
Strong working knowledge with spreadsheets. Proficient in Microsoft Excel, Word and Access
Attention to details and ability to work under pressure and deliver on tight timelines
Ability to work autonomously, delegate and plan appropriately, as well as work collaboratively with various groups to drive high quality results
3-5 years of experience in the mutual fund or asset management industry

Senior Tax Manager Regulatory Reporting Resume Examples & Samples

Execute on the tax processes related to regulatory reporting – review quarterly & annual regulatory filings, including stress tests, Call Reports, Federal Reserve filings
Establish tax policies and procedures related to regulatory reporting
Develop goals & objectives for tax regulatory processes
Monitor compliance with current processes & develop new processes as required
Work with leaders to implement changes as required and insure compliance
Act as key contact for other functional teams and external parties with regard to regulatory reporting
Supervise and manage direct report(s)
Minimum 7 years of tax experience in major accounting firm, law firm, or multinational company
Certified Public Accountant (CPA) or Masters of Taxation or equivalent certification
Financial Services Industry experience
Experience interpreting technical US tax rules
Strong ASC 740 skills

Manager Regulatory Reporting & Controls Resume Examples & Samples

Accurate and timely local regulatory reporting
RBI RBS / statutory audit / internal audit
Technology project management
Compliance and control
Accurate and timely local regulatory submissions
Audit Handling for Credit Risk – Including both external and internal such as Annual Financial Inspection and Risk Based Supervision by RBI, Statutory Audit, Citi internal audits (ARR). To coordinate with RBI inspectors/Regional/Local Audit team and respond to their ad-hoc queries
Presentation to Management Committee on Key Risk Indicators and Metrics (LOMC)
Implementation of Risk Regulatory Matrix for Credit Risk Unit
Managing risk assessment and controls for Credit Risk Unit; this includes Continuity of Business, Proofs Recon and End-User Computing
4-5 years

Senior Manager Regulatory Reporting Resume Examples & Samples

Physical Demands: Located in a comfortable indoor area
Environmental Conditions: No unusual conditions noted
Sensory Demands: No unusual conditions noted
Mental Demands: Considerable mental demands can be experienced by pressure from frequent deadlines, work interruptions, unpredictable or frustrating situations and simultaneous priorities and deadlines during quarter and year-ends. Normal office environment. Must be able to handle a diverse series of projects and initiatives while maintaining tight timelines and deadlines relating to MI production, reporting and analytics
The incumbent must be able to be fully conversant with the I.T. and technology systems currently in use within the various business units of the bank, including Finance systems such as HUB, TREATS, Sysgen (general ledger) Hyperion, Cognos, and other systems and applications
Degree in business, finance or related field, plus a professional accounting designation (CA/CMA/CGA)
Strong Treasury Products knowledge is desirable
7-15 years of work experience in complex/senior functions within the financial services industry preferably in the similar role
Strong knowledge of the Regulatory banking environment and familiarity with risk management
Experience in dealing with regional and/or global related entities is an asset
Advanced systems skills Excel, ESSBASE, ACCESS, Database management etc

Assistant Manager Regulatory Reporting Resume Examples & Samples

Accounting designation or equivalent
Team player & strong communication skills
Ability to work independently and deal with complex regulatory issues
Knowledge of regulatory reporting and related rules
Knowledge of CDIC Reporting and it s regulations

Finance Regulatory IT Senior Project Manager Regulatory Reporting Resume Examples & Samples

Project manage build out of regulatory architecture for the IHC
Coordinate all SDLC related activities across a large team of stakeholders
Own work plan and schedule to successfully meet goals with tight deadlines and minimal supervision
Identify issues, recognize root causes and take appropriate action or recommend possible scenarios to solve problems
Create senior management presentations utilizing MS PowerPoint, Visio and other productivity tools as required
Coordinate the recording of required project artifacts (BRD, FRD, Dev status, etc.) for the project
Work within IT and with business stakeholders to ensure that systems are appropriately designed, with clear separation of purpose, meet performance expectations and are supportable
Ensure formalized BRDs and data analytical efforts meet Regulatory Reporting and Financial Control requirements
Work closely with business stakeholders, IT team(s) and enterprise architects in defining the future state solutions
Ensure optimal tools and techniques are employed in the development of logical models and process flows into a technical application design
Ensure project management functional activities are in line with enterprise wide best practise standards
Work closely with key business stakeholders in assessing and establishing future book of work
Review application portfolio to identify potential redundancies and opportunities for synergies
Establish and maintain strong business partnership with the Finance stakeholders
10 years plus experience with project management, regulatory and financial services
Experience in US or foreign banking organization (commercial bank or broker dealer), Bank Holding Company (preferred)
Prior implementation experience in the building out of Regulatory Reporting infrastructures either in a production capacity or process improvement with preference in the following reports
Financial Statement - FFIEC002, FFIEC031 or FRY- 9C (preferred),
Country Exposure - FFIEC009 or FFIEC019,
Treasury International Capital Forms (TIC series), etc.
Established track record of successful project planning and execution
Professional certification and/or MBA preferred
Demonstrated experience with MS Project, Visio, Excel and PowerPoint
Strong leadership, written and verbal communication skills
Experience in managing the planning, documenting, testing, and executing, along with tasks, budgets, timelines, and project team members to successfully complete projects

Senior Manager, Regulatory Reporting Resume Examples & Samples

Reporting to the Head Of'focused on Solvency II and Regulatory reporting. The team are accountable for Regulatory reporting across the groups legal entities. Managing hand in and hand offs related to governance reporting processes and deliverable
You'll lead and manage the team responsible for SII Reporting
You'll coordinate and oversee the reporting productions and manage regulatory queries. You'll manage, develop and motivate colleagues to create a high performing team

Manager Regulatory Reporting & Analytics Resume Examples & Samples

3+ years of experience in liquidity risk and treasury management or related areas
In depth knowledge of the liquidity rules (Basel III, PRA, and OSFI)
Working knowledge of the Bank's various source systems, including K2, Anvil, ADP, Wall Street, MMI, ACBS, OLL, and CAMRA
Results focused and ability to deliver under tight deadlines
Good communication skills and ability to influence and secure buy-in from various stakeholders
Advanced analytic skills

Manager Regulatory Reporting Resume Examples & Samples

Manage the preparation of the Annual Audited Financial Statements, including
Provide audit support to internal/external auditors and serve as liaison for the
Networks across regulatory reporting team, with business partners and with the
Knowledge and understanding of the general ledger close process and financial

Manager, Regulatory Reporting Resume Examples & Samples

Collaborate with peers and senior partners across multiple functions (Fund Valuations, Product Development, Legal, Compliance, Investment Management Research and Business Management), and with technology, print production and translation vendors to prepare, file, produce and distribute assigned regulatory point of sale and continuous disclosure documents
Adhere to legal and regulatory requirements to manage CAMI business risk by ensuring all required regulatory documents meet form requirements and are filed and distributed on time
Maintain knowledge of the current regulatory environment and proposed developments impacting CAMI products; competitor regulatory documents; and potential technology applications for producing and delivery regulatory documents
Maintain a focus on the unitholder experience by seeking to enhance the clarity and efficacy of regulatory documents through copy edits and design changes
Ensure content, design and branding consistency within and across different fund family documents
Prepare web-posting requisitions to ensure that online documents are posted accurately and to schedule
Prepare communications regarding regulatory documents
Undertake ongoing and post-project analysis with partners and vendors to identify any improvements to project planning or processes to enhance operational efficiency and effectiveness
University degree in Business, Finance, Accounting or a related field is an asset
5+ years’ experience in a Regulatory Reporting, Compliance, Legal, Finance or Product Development function, preferably in the financial services sector
Good knowledge of mutual fund products and the regulatory environment; IFC, CSC or a related designation is an asset
Above average knowledge of MS Excel; at least average knowledge of MS Word, Project and SharePoint; knowledge of MS Access is an asset
Experience in planning and managing multiple large-scale, cross-functional projects
Resourceful and flexible in adapting to tight timelines and finite resources
Strong relationship-building, interpersonal and communication skills (verbal and written), and the ability to use these skills effectively to interact at all levels of the organization and with external vendors

Manager, Regulatory Reporting Resume Examples & Samples

Prior experience of working in a Regulatory Reporting unit within in a financial services institution
Part-Qualified and Qualified Accountant
Extensive technical knowledge of EBA and FCA/PRA regulatory returns in respect of authorised banking Institutions and investment firms
Advanced technical knowledge and understanding of national and international regulatory environment (COREP & Basel 3)
Strong analytical & report (data governance/validation) writing skills
Good technical knowledge of regulatory reporting to overseas regulators, preferably the US Federal Reserve Bank
Good functional knowledge of a regulatory reporting system (ideally STB) and associated controls
Good working knowledge of the Microsoft Office suite of products, specifically EXCEL, ACCESS and WORD
Excellent persuading and influencing skills

Finance Manager, Regulatory Reporting Resume Examples & Samples

Contribute to the transformation activities within the SG Finance Team
Ensure all regulatory reporting functions comply with relevant standards, policies, legislation and regulations
Ensure an appropriate escalation and governance process is in place to raise and resolve issues as identified
Build a cooperative and effective relationship with key internal and external stakeholders
CPA or CA license is an advantage
Relevant experience within the banking sector
Good knowledge of banking products and local regulatory requirements and framework
High quality and accurate delivery of regulatory returns within the regulator timeframe
Experience in engaging and managing internal and external business relationships

Manager, Regulatory Reporting Resume Examples & Samples

Qualified accountant (CGA/CMA/CA) plus 5 years experience on relevant roles of increasing responsibility
Strong knowledge of regulatory reporting for financial institutions to the various agencies in Canada (OSFI, CDIC, BOC, CBA, etc.)
Working knowledge of regulatory reporting requirements of the Federal Reserve Board/FFIEC in the United States and the FSA in the United Kingdom
Strong spreadsheet skills are essential with an ability to develop complex financial databases in a dynamic and time sensitive environment as well as linking data between PC’s and servers
Good communication skills, both written and oral, and ability to deal effectively with all levels of management and staff
Strong understanding of the Bank’s products and services as well as its subsidiary business units

Manager, Regulatory Reporting, HFS Resume Examples & Samples

Strong experience in a regulatory environment
Product knowledge in FATCA, Dodd Frank, CRS, CPO-PQR and AIFMD Annex IV reporting
Strong communication, relationship, and facilitation skills to work directly with clients
Shows strong judgment in the ability to formulate plans based on needs and leadership styles of key leaders
Executes efficiently and effectively in a deadline driven environment
Leadership and organizational skills are essential to prioritize client needs and provide feedback
Self-starter and analytical skills to research and make recommendations
Able to consult with clients on a regular basis and communicate expectations and deadlines internally and externally
10 years of experience in accounting or finance with a regulatory focus
Strong Financial Services background preferred
Project management experience (preferred)
Experience supervising/managing staff
Experience with product design and implementation

Manager Regulatory Reporting & Control Resume Examples & Samples

Perform reconciliations (direct/ indirect) to across Reg filings (e.g. 10-Q, FR Y9C, FFIEC 101)to ensure data accuracy/consistency
Work closely with Regulatory Reporting teams to escalate reconciliation issues
Provide ongoing review of reconciliation population and procedures to ensure completeness/accuracy
Provide analytical support for adhoc projects and audit request
Provide analysis and reporting to support attestation framework and manual adjustment metric reporting
BS/BA in Accounting and 3-5 years relevant Regulatory Reporting or closely related industry experience
Internal Control focus w/ specific experience with reconciliation, attestation, and metrics reporting
Strong communication, organizational and time management skills
Ability to work under the pressure of deadlines
Ability to interact well with others at all levels
Ability to handle and resolve recurring challenges and problems
Self-motivated and promote teamwork
Proficiency in MS Office applications; i.e. Excel, Access a plus

Manager, Regulatory Reporting & Compliance Resume Examples & Samples

Working knowledge of regulatory reporting requirements of the Federal Reserve Board/FFIEC in the United States and the FSA in the United Kingdom
Strong spreadsheet skills are essential with an ability to develop complex financial databases in a dynamic and time sensitive environment as well as linking data between PCs and servers
Good communication skills, both written and oral, and ability to deal effectively with all levels of management and staff
Strong understanding of the Banks products and services as well as its subsidiary business units

Senior Finance Manager, Regulatory Reporting Resume Examples & Samples

Banking experience and with adept knowledge on how a bank is run in other functions
HKMA and SFC (FRR) reporting knowledge and with proven relevant experience
Prior experience in people management
Demonstrated skills in planning and prioritisation
Strong initiative and a proactive attitude

Quality Assurance Manager Regulatory Reporting Resume Examples & Samples

To monitor timely submission of reports prepared by Finance and Operations
To perform a quality check on existing complex and critical submissions with focus on correct interpretation of reporting requirements
To set up the internal control and quality assurance model for all regulatory reports within Finance and Operations with focus on accuracy, timeliness and completeness of reports
To organize oversight in (upcoming) regulatory changes and timely embedding in reporting process

Project Manager, Regulatory Reporting Resume Examples & Samples

Monitors regulatory developments to ensure compliance with FFIEC, FDIC and Federal Reserve reporting requirements
Primary reviewer of daily and weekly reporting to the Federal Reserve Bank (including reserve requirement calculation)
Assists in the preparation quarterly FDIC Call Reports for Discover Bank and Bank of New Castle, ensuring new requirements are implemented correctly
Preparation of monthly accruals and oversight of quarterly FDIC/FICO Assessments and invoicing
Preparation of quarterly disclosures for SEC Reporting
Participate in Regulatory Agency Exams and audit reviews, serving as liaison between the regulators/auditors and the business
Assist in the on-going review and maintenance of the Banks Accounting Policies and Procedures related to Regulatory Reporting
Support new business initiatives and ensure proper accounting and regulatory treatment
Act as liaison between the Reporting Department and other business units
BS in Accounting or Finance with 7 years of demonstrated work experience in financial reporting and project management
Excellent communication, organizational and problem solving skills
Must be able to work in an environment with changing expectations
Must be able to interact effectively with varying levels of management and have the ability to work independently
System preferences include Hyperion Financial Management, Hyperion Essbase, Hyperion Enterprise, Tableau, MS Office
At least 5 years of Regulatory Reporting experience
Banking / Industry experience

Manager Regulatory Reporting, Wealth Resume Examples & Samples

Demonstrable professional experience in Wealth Finance roles
Sound knowledge of regulatory reporting and financial services industry
In depth exposure to change management including monitoring of project requirements and delivery
Demonstrated excellent planning, co-ordinating and prioritisation skills sites
Extensive experience in statutory or regulatory reporting role in Wealth, including exposure to Life Insurance
Oversight and exposure to several complex technology implementations
Strong initiative and proactive attitude to drive a continuous improvement culture

Manager, Regulatory Reporting Oversight Resume Examples & Samples

Perform oversight activities that involve the review, investigation and closure of issues for regulatory reports to ensure they are ready for sign-off by Head of Group Regulatory reporting
Provide assistance and partner with businesses and regulatory reporting teams on technical aspects of regulatory requirements
Manage and interpret regulatory changes and its impacts on existing or new regulatory reporting and ensure the changes are interpreted correctly, communicated and embedded
Develop strong networks across the enterprise to build business acumen and ensure the external regulatory messaging is consistent with internal business speak
Contribute and advise in relevant change programs for a regulatory stand point
Qualified accountant – CA or CPA
Finance background with regulatory experience
Strong stakeholder engagement and partnering skills

Senior Manager Regulatory Reporting Resume Examples & Samples

Oversee the Bank's and assigned subsidiaries' financial regulatory governance including accurate and timely filing of all financial reports with the Regulators (e.g., OSFI, Bank of Canada, Statistics Canada, CDIC), and keeping abreast of regulatory changes
Participate in the implementation of new reporting requirements and manage the implementation of system and procedural changes to ensure compliance with new regulatory requirements
As a member of CBA regulatory reporting committee, be an active participant in CBA lobby process and build strategic relationships with regulators (e.g., Office of the Superintendent of Financial Institutions, Bank of Canada, and Canada Deposit Insurance Corporation), and other bank reporting teams. Also build and manage strategic relationships with internal stakeholders (e.g., GRM, DSS, Retail Lending Services, Retail Deposits and Investments and other Finance areas)
Manage the securities subledger and oversee securities reporting of the Bank’s and assigned subsidiaries investment and trading portfolios including the analysis of unrealized gains and losses for executive and internal management reporting
Stay up-to-date on accounting requirements and assess impact of new requirements on the operations of the Regulatory team
Participate, as required, in accounting initiatives impacting financial regulatory filings or securities reporting
Work with Decision Support Services (DSS) to ensure system support is available, and all changes and enhancements are communicated in a timely manner
Oversee the team’s quarterly and annual shareholder reporting requirements and note disclosures
As SOX process owner, ensure documentation is prepared and updated regularly
Oversee and manage special projects as required to develop and implement processes improvements to enhance efficiency and effectiveness of internal controls and reporting
Coach, manage and develop the team with the goals of achieving a high level of productivity and providing opportunites for the team members to enhance their skills and to meet their development objectives. This includes being engaged in the team’s development activities and ensuring the team’s managers and supervisors are similarly engaged
Other projects and initiatives, as required
Excellent understanding of accounting principles and financial regulatory requirements as well as ability to understand financial statements, their components and disclosure requirements
Strong knowledge of the Bank’s general ledger system (EGL) and its reporting tools (OBI, Smartview)
Strong leadership and organizational skills required to manage a variety of concurrent deliverables and projects and to resolve related issues
Excellent coaching skills, communication, project management and business acumen
Must be able to multi-task, work under pressure and be willing to work long hours as demanded by tight reporting deadlines
Experience in financial accounting and reporting with a large organization

Finance Manager, Regulatory Reporting Resume Examples & Samples

Solid HKMA reporting knowledge with proven years of relevant experience
Chartered Accountant (CA) or Certified Public Accountant (CPA) or equivalent qualification
Analytical skills with customer focus
Strong interpersonal skills and ability to influence, with experience working with off-shore sites

Manager, Regulatory Reporting Resume Examples & Samples

Centralization of report development, production, and distribution of metrics to meet MU attestation requirements and MACRA reporting requirements
Monitor MACRA/MIPS and Meaningful Use reports
Communicates ongoing issues with EMR applications that affects MACRA/MIPS or Meaningful Use performance with Local IT and/or the HSC technical team
Coordinates the collection of audit evidence and correspondence
Effectively communicates reporting expectations to stakeholders in a timely and clear fashion
Estimates the resources and participants needed to achieve reporting goals
Plans, schedules, and tracks reporting timelines, milestones and deliverables using appropriate tools
Seeks support and assistance for tasks and responsibilities with appropriate stakeholders and resources
Identifies and manages project dependencies that could impact reporting requirements
Develops and delivers progress reports, proposals, requirements documentation, and presentations as requested
Proactively manages changes in reporting scope, identifies potential crises, and devises contingency plans
Distributes meaningful use reporting metrics to senior leadership

IT Project Manager Regulatory Reporting Resume Examples & Samples

IT Project Management finance and regulatory reporting projects during all lifecycles from pipline to delivery
Active coordination and interaction with international business stakeholders, Change and IT
Managing task force activities on critical operational issues
Deputy Team Lead responsibilities on Cost, People, Communication and Planning
IT Project Management of Finance and Regulatory Reporting Projects
Project Planning, Effort Estimations, Solution Design, Clarification of Requirements with Stakeholders and IT
Managing Project Deliverables, Risks, Milestones, Governance and Budgets
Managing Feasability Studies for new intiatives that first have to be assessed before the delivery can start
Deputy Team Lead responsibilities on Cost, People, Communication, Planning
Active coordination with Risk, Audit and controlling functions on the operations and project side
Ensuring that projects are delivered in accordance with the RBS Project Management Methodology P3M
Business (end user) support which consists of data analysis, creation of ad hoc reports. These tasks require good BA skills in the banking area (Finance / Legal Reporting / Risk Management, preferably) and a good attitude to deal with demanding International business stakeholders, on a frequent basis
Strong collaboration with end users based in the UK, Switzerland and India
Testing support responsibility during release cycles
Strong track record on the IT Project Management side
Experience as Business Analyst in the Financial Service Industry (Finance / Legal Reporting / Risk Management preferred)
Strong technology understanding with a development background in Finance and Regulatory Reporting
Avaloq Certified Professional with at least 3 years of experience in Avaloq development is required
PL/SQL – Senior Level is required
Web technology: Java script, HTML
Object oriented language (C#)
Project Management Certification (e.g. Prince2) is a clear plus
Banking know-how in Finance/Legal Reporting/Risk Management is required
Very good IT cross platform understanding is required
Fluent in English / German is a plus

Senior Manager, Regulatory Reporting Resume Examples & Samples

Manage the regulatory reporting process ensuring compliance with SEC, FINRA, and NFA rules and regulations
Prepare, analyze and file regulatory reports and schedules (i.e. FOCUS, SSOI, SIS, etc.)
Collaborate with various business units with changes to the business practices, contracts or agreements or new business items that may impact the financial or regulatory reporting for the business unit as required
Assist in process improvements initiatives, as appropriate
Assist in month end regulatory reporting post-closing process
Work with IT, Operations, and other departments on various firm-wide projects including the implementation of the Axiom regulatory reporting software
Understand regulatory issues and changes and their applicability to the firm
Manage the work of the regulatory reporting department
Oversee preparation of internal reports for management
Performs human resource management activities, including interviewing and selecting staff; coaching and mentoring; and leading and evaluating the work of subordinate managers
Serve as a resource during external audits, internal audits and regulatory examinations
Accounting concepts, practices and procedures
Financial products
Broker/Dealer regulatory rules specifically SEC Rules 15c3-1 and 15c3-3
Controls and implementation of controls as they relate to regulatory reporting
Broker/Dealer Operations
SIS, IMPACT, PeopleSoft and Computron systems
MS Excel - (vlookups, pivot tables, macros, etc.)
Working on IT/Technology related projects
Analyzing financial information
Performing mathematical calculations
Reporting accounting data and information
Promoting effective communication with internal and external associates
Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets
Understanding departmental objectives
Plan, assign, monitor, review, evaluate and lead the work of others
Communicate clear directions and priorities
Lead meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes
Implement changes to standard procedures when required by specific situations and circumstances
Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives
Establish and communicate clear directions and priorities
Explain or clarify financial and regulatory information to all levels of management
Work independently, make non-routine decisions and resolve complex problems
Organize, prioritize, manage, and complete multiple projects and tasks concurrently, in a fast-paced environment with frequently changing priorities and constant interruptions, including those delegated, to complete work efficiently
Bachelor’s Degree (B.A.) in Accounting or Finance or related field and a minimum of ten (10) years of professional accounting experience with a minimum of 3-5 years of management experience

Manager, Regulatory Reporting Resume Examples & Samples

Support senior leadership with close and calendar management for SEC/GAAP reporting
Execute tasks defined by senior leadership to help improve status reporting and accountability and to manage team members towards same
Assist senior leadership with defining and tracking key close metrics to enable the organization to perform post-mortem evaluations
Oversee coordination and preparation of the Quarterly Financial Supplement
Provide approval for the addition of new accounts and legal entities to the general ledger which requires deep understanding of ledger structure and GAAP ledger processes
Assist senior leadership with internal GAAP representation letter processes
Facilitate quarterly/annual audits by internal auditors and independent external auditors
Review the preparation and data collection for all quarterly financial statements
Oversee SEC and US GAAP reporting disclosures
Support the development, documentation and implementation of controls and procedures in accordance with SOX
Conduct analytical reviews on core GAAP financial statements
7+ years of experience in accounting, finance or a similar field of expertise
Knowledge and experience in external reporting (e.g., standard reporting, ad hoc reporting, slice-and-dice and drill-down reporting) to perform detail analysis on financial statements to tell consolidated P&L and balance sheet stories
Experience working with life insurers GAAP financial statements preparation and supervision
Experience facilitating processes across different business units
Experience analyzing corporate and business unit financial results to produce consolidated financial analytics
Experience working with business unit and corporate leadership
Experience in analyzing financial results
Knowledge and experience in the life insurance market
Knowledge and experience in external SEC/GAAP reporting requirements
Knowledge and experience in working with general ledgers and industry reconciliation tools
Proficient in Excel, Word, PowerPoint, PeopleSoft/Cubus (or similar general ledger application)
Completion of, or working towards, CPA or MBA highly desired
Experience in financial reporting, SEC reporting or public accounting preferred
Bachelor’s degree in Accounting, Finance or a similar field of expertise

Manager, Regulatory Reporting Resume Examples & Samples

1)Conduct daily ALRE data review and generate securities data summary in a timely fashion
2)Perform thorough monthly ALRE data review and financial reconciliation against EGL
3)Work closely with technology teams, Finance and Product Control to investigate and resolve identified data gap /source data issues
4)Maintain and enhance a robust reconciliation tool which supports frequent data comparison, dissection, aggregation and variance analysis
5)Manage an array of mapping tables which are key input for regulatory reporting /ALRE process
6)Update process documentations and perform monthly analysis as required by RDARR
7)Take initiative in new scope of reconciliations and the optimization of operational efficiency
8)Participate in liquidity projects to support new regulatory reporting initiatives
1)3+ years working experience with capital market products such as secured financing transactions and derivatives
2)Proficient with Microsoft Office Excel and Access, VBA and programming skills preferred
3)Excellent analytical skills combined with proficiency with large complicated datasets
4)Familiarity with EGL and solid understanding of balance sheet components

Manager, Regulatory Reporting Resume Examples & Samples

Calculate the weekly and monthly customer reserve requirements for the firm’s self-clearing broker dealer
Manage the firm’s process for compiling the monthly, quarterly, semi-annual, and annual reporting requirements
Coordinate periodic dividends / withdrawals from the firm’s broker-dealer subsidiaries
Research recently issued / adopted regulatory rules and prepare technical accounting white papers for relevant topics
Support a culture of continuous improvement to derive enhanced methods for explaining the appropriate business drivers, for accelerating close timing, for improving close accuracy, and for enhancing controls over financial reporting
Provide leadership and direction for key initiatives within the firm
Provide mentoring, guidance, and development opportunities for the Regulatory Reporting team
Effective communication skills and the ability to interact effectively with all levels of staff and management
Demonstrated ability to manage multiple projects and activities
Strong leadership and management skills, particularly in managing and leading organizational change
Strong understanding of controls and in managing organizational awareness of criticality of a robust control environment over financial reporting
Five to seven years of experience in the broker-dealer industry
BA/BS degree in Accounting, Finance or a related field
Licenses/Certifications: CPA and Series 27 preferred

Program Manager Regulatory Reporting Resume Examples & Samples

Maintains an ongoing, deep knowledge of all applicable federal, state, and local laws and
Coordinates the creation of a comprehensive implementation strategy that priortizes,
Coordinates data reporting to ensure data integrity and appropriate capture of required

Technical Project Manager Regulatory Reporting Resume Examples & Samples

Manage design, development and testing of various aspect of financial regulatory reporting platform
Work with Dev/QA, enterprise architects to drive the solution best suited for the application
Leverage and utilize enterprise and reusable solutions and services to gain efficiencies and consistencies
Responsible to provide direction and guidance for a wide array of activities associated with project planning and management to ensure that projects are completed on time, within budget and to client specifications
He/she will be responsible to manage and oversee the end to end project management activities such as project reporting, project planning, issue / risk identification and tracking, scope management, estimation, client management, relationship management and other project documentation preparation for projects of high business complexity (involving multiple systems interfaces that are highly visible to the organization)
Serve as a liaison between clients and internal technical groups to ensure delivery of projects on time, within budget, and to specification
Ensures project delivery is in conformance with company methodologies and standards and contribute to the achievement of area objectives
Bachelor's degree, preferably in business management or a related discipline, or equivalent work experience required, advanced degree preferred. Project Management Professional (PMP) certification is beneficial 10 - 12 years of large and complex IT projects involving data governance, data sourcing, processing and building DataMarts, data process flow, conceptual and logical data and dimensional modeling and reporting
Able to drive priorities within the Enterprise and resolve any dependencies on Enterprise Solutions
Able to drive functional requirements various regulatory development projects with the Enterprise target Architecture
Must be a self-starter with effective oral and written communication skills
A self-motivated personality, and able to work efficiently by himself/herself, as well as, in a team
Domain knowledge on Banking and Financial & Regulatory Reporting is a plus
Project management certification (like PMP, agile project management etc.)
Experience working with regulatory project (e.g. Basel III, CCAR, BCBS 239)
Experience working in agile (scrum) development environment

Manager, Regulatory Reporting, Rogers Bank Resume Examples & Samples

Financial, regulatory or accounting experience in financial services industry is preferred
Excellent understanding of financial regulatory requirements, as well as ability to understand financial statements, their components and disclosure requirements
High attention to detail and accuracy with ability to consistently meeting deadlines with relentless pursuit of process improvements
Hands-on, energetic, organized, team player with proven ability to adapt quickly in a changing environment and facilitate change, multitask effectively and work independently
Must possess sound judgment, good decision-making ability, and a high level of, problem solving and analytical ability to work in a fast-paced environment
Strong written and oral communication and ability to relate information and communicate effectively across all levels of organization University degree with 5 - 7+ years of experience in financial analysis and planning
CPA designation is preferable

Manager, Regulatory Reporting Resume Examples & Samples

Responsible for the overall coordination and production of quarterly and annual Life-1 returns for filing with OSFI, provincial and other Canadian regulatory bodies by the due dates. This includes the preparation of assigned schedules, requesting data submissions from business areas, reconciling to the General Ledger (G/L) and other sources (e.g., Financial Statements, MD&A, etc.) as applicable, performing trending and variance analysis, and reviewing schedules completed by staff
Research and review on-going changes to federal, provincial, foreign and other regulatory and compliance reporting requirements and filing deadlines; keep abreast of changes in accounting policies and standards and assess impact to regulatory reporting. Liaise with the regulators and internal lawyers as required to confirm requirements and ensure new and recent changes to the requirements and the related interpretations are documented and communicated to the appropriate levels/areas on a timely manner
Manage and maintain monitoring control over the timely filing of numerous statutory quarterly and annual reporting requirements by Regulatory Reporting and Corporate Actuarial
Assist director and support staff to engage in process improvement both within the team and across business groups to enhance effectiveness and efficiency in preparing various regulatory reports. Actively participate in and contribute to the Brighter Way and Risk Control Self-Assessment programs
Ownership over the management, administration, coordination and accuracy of the global quarterly and annual requirements information in Regulatory Reporting Database. Investigate and liaise with IT to resolve database issues and provide support to users globally
Review and ensure accuracy and timely payment of the Federal and Provincial assessment and the Provincial licensing fees. This includes liaising with various business areas to determine and set up annual assessment accrual limits by line of business, and accurate and timely record keeping. Review and approve monthly account reconciliations in accordance with the Company’s standards and guidelines
Day-to-day supervision of staff, provide training and guidance as required
Review and maintain regulatory reporting hierarchies
Assist with ad hoc requests for information from external and internal clients; and participate in projects as they arise across Corporate Finance
Ability to assess impacts of IFRS guidelines and one off transactions in accordance with OSFI and other regulatory requirements
Ability to interpret regulatory guidelines and communicate clearly
Judgement and creativity skills to mitigate risk as issues arise
Strong and effective organization and motivational skills
Demonstrated ability to prioritize and manage various activities concurrently and meet deadlines
Proficient in Excel, Word and PowerPoint
Working knowledge of Oracle general ledger system and reporting tools, is an asset
Highly motivated with the ability to consistently seek out improvements and efficiencies to current processes
Team player, People Manager
Recognized accounting designation
Minimum of 5 years work experience in finance, accounting and related areas, preferably in insurance industry
Minimum of 5 years leadership skills

Audit Manager, Regulatory Reporting Auditor Resume Examples & Samples

Assist audit management (VPs and Director) in all aspects of audit activities including annual risk assessments, audit planning, control evaluation, reporting, follow-up and verification of issue closure
Test and assess adequacy of controls over Regulatory Reporting and other areas such as Comprehensive Capital Analysis and Review (CCAR) / Dodd-Frank Act Stress Test (DFAST) processes impacting the regulatory reporting submission process
Perform substantive testing of critical data elements impacting various regulatory reports including the FR Y-9C, FR Y 14 A, Q and M, Bank Call Report
Analyze root causes of issues identified during testing and make practical and innovative recommendations to management to improve the control environment as necessary
Contribute, develop and perform continuous monitoring of key data elements and emerging trends with risk and control implications
Communicate effectively both orally and in written form with management and external auditors
Remain current on evolving regulatory requirements impacting areas covered including new industry regulations and Fed instructions
Partner with other audit teams within Internal Audit as needed
4 year degree in accounting, finance or related discipline
Professional certification or advanced degree preferred (CPA, MBA, CIA, etc.)
3 - 5 years of experience in a public accounting firm and/or internal audit within the banking/financial services industry preferred
Banking industry experience such as residential and commercial lending / mortgages preferred
Strong knowledge of US GAAP, SEC and experience with CCAR / DFAST and related regulatory reporting experience preferred
Strong planning, research and analytical skills required
Excellent analytical, verbal and written communication skills, the ability to interact with various levels of the organization
Effective organizational skills and the ability to multitask, prioritize and adapt effectively in a changing environment
Ability to provide high quality deliverables while meeting deadlines
Limited travel may be required