Regulatory Reporting Analyst Resume Samples

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B Dickinson

Brielle

Dickinson

40143 Buddy Row

Detroit

+1 (555) 895 4966

40143 Buddy Row

Detroit

Phone

p +1 (555) 895 4966

Experience Experience

New York, NY

Regulatory Reporting Analyst

New York, NY

Barrows, Botsford and Hermann

New York, NY

Regulatory Reporting Analyst

Assisting Team Manager and senior Compliance staff with project work for the Trade Surveillance and Regulatory Reporting teams
Assist in conflict clearance, manage foreign ownerships limits/give trade approvals to traders and investment managers
Involves reporting key management regulatory performance indicators, providing stakeholder support and identifying/implementing enhancements
Perform detailed data validation work prior to reporting data to regulator…work to resolve data quality issues with the GEMS and Business teams
You will be assisting in the improvement of the report review process
Research material changes in prepared variance analysis and provide relevant commentary to senior management
Assist with various projects related to BHC's establishment

Phoenix, AZ

Bilingual Regulatory Reporting Analyst

Phoenix, AZ

Beer, Trantow and Schmidt

Phoenix, AZ

Bilingual Regulatory Reporting Analyst

Manage Management Control Assessment (MCA) process for Finance
Provide accounting guidance and support to units as necessary
Quality & Service Oriented
Prepare other regulatory reports that may surface through time. Local Regulatory Reporting
Call Report Citibank Puerto Rico
TIC B reports (BC / BL / BQ2 / BQ3)
Support the Controller in business initiatives

present

Philadelphia, PA

Senior Regulatory Reporting Analyst

Philadelphia, PA

Feest, Ritchie and Barrows

present

Philadelphia, PA

Senior Regulatory Reporting Analyst

present

Assist in month end regulatory reporting post-closing process
Work in a fast paced, challenging, and collaborative team environment with multiple and competing priorities
Ensure timely delivery of reports to RBC HQ including co-coordinating with business credit risk, technology and finance teams
Responsible for month-end closing activities – prepare journal entries, account reconciliations, etc
Identifies ways to promote efficiency within the financial reporting process to implement and/or incorporate best practices
Monitor, evaluate and communicate the effects of proposed U.S. regulatory reporting changes
Acts as a key liaison for numerous audits and/or reviews, including but not limited to Reg. AB, compliance, external year end, etc

Education Education

Bachelor’s Degree in Accounting

New York University

Bachelor’s Degree in Accounting

Skills Skills

A team player who is quickly able to grasp new concepts and apply existing technical knowledge in order to identify and resolve issues
A strong working knowledge of and practical experience applying bank accounting and regulatory standards
Strong organisational skills and attention to detail
Intensive attention to detail and the ability to analyse and process large amounts of data
Good knowledge of Financial Markets, Banking Industry and products (prior Banking experience is an advantage)
The ability to work under pressure when the situation dictates, and to be comfortable liaising with the business at all levels
Strong knowledge of MS Excel
MS Access proficiency / Share Point knowledge
Good English communication & writing skills (knowledge of Korean language is welcome)
Strong understanding of US GAAP consolidation rules

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15 Regulatory Reporting Analyst resume templates

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Regulatory Reporting Analyst Resume Examples & Samples

Preparation and analysis of the weekly, monthly, quarterly, semi-annual and annual Regulatory Reports for Citigroup and Citibank entities, FDICIA and SOX Compliance
Other responsibilities include reconciliations to 10Q/10K disclosures
Preparation of Board of Directors and Senior Management Presentations and Analyst Packages
Internal controls on Regulatory data integrity, data quality improvement projects as well as implementation of new reporting systems
The position will provide in-depth analysis and reporting of multiple areas of Regulatory filings required for FRB and OCC as well as reconciliations to SEC disclosures (10Q/10K)
On an ongoing basis, the Lead Analyst will coach and train analysts, build strong relationships and work effectively across other functions throughout Citi, including Business Unit Controllers, SEC Reporting, Treasury, and Accounting Policy to ensure quality and accuracy of Regulatory financial reporting
The Lead Analyst will assist in reviewing data quality to expedite the consumption of US RRI data
This position is located in Tampa, FL; relocation is not provided
Bachelor's degree or equivalent experience. CPA preferred
5+ Years of relevant experience (regulatory reporting)
Experience with reporting for derivatives and other off-balance sheet instruments
Working knowledge of FAS 155, 157, 159
Strong MS Office skills, especially MS Access and Excel
Experience in large, complex environments a plus
Solid business foundation in the financial services industry a plus
A strong understanding and application of technical accounting principles and policies
Strong control awareness
Thorough, comprehensive and current understanding of banking regulatory reporting rules and regulations

Regulatory Reporting Analyst Resume Examples & Samples

Responsible for preparing and analyzing the daily and monthly Net Capital Computation including the calculation of inventory haircuts and operational, fail, and securities financing charges in compliance with SEC Rule 15c3-1
Prepare the weekly SEC Rule15c3-3 Customer Reserve computation and analyze any significant fluctuations
Assist in the monthly preparation of the firm's FOCUS report
Research material changes in prepared variance analysis and provide relevant commentary to senior management
Design and implement business solutions to enhance and/or streamline reporting processes
Maintain understanding of new rules and regulations ensuring continued compliance with reporting requirements
Produce error free, timely and quality reporting utilizing appropriate risk controls and reconciliations
Assist in the preparation of daily CFTC Segregated 1.20 and Secured 30.7 computations
Assist with reporting of Treasury International Capital (TIC) to the Federal Reserve
Liaise with Accounting, Operations, and Compliance departments as needed
Obtain an understanding of the financial markets and impact to Broker Dealer

Regulatory Reporting Analyst Resume Examples & Samples

Ensure that the supporting documentation to the disclosure decision is complete and accurate
Team and Processes Effectiveness
Identify, analyse, escalate and resolve issues as appropriate
Adhere to agreed global processes and working methodologies
Provide assistance to the GSP Central team by performing any testing and tasks as requested
Continuously develop knowledge of Equities products, GSP system and source systems feeding into GSP
Ensure that the files and disclosures prepared are properly archived
An enthusiasm to learn new procedures
A willingness to perform detailed analytical work to a consistently high level of accuracy, even in times of high pressure
A willingness to perform some repetitive administrative work
An enquiring nature with a propensity to question facts and data, and a tenacious attitude towards problem solving
The ability to work under pressure when the situation dictates, and to be comfortable liaising with the business at all levels
Good communications skills, both verbal and written

Senior Regulatory Reporting Analyst Resume Examples & Samples

Analysis of UBS’ Shareholdings and Reporting
Analyse and assess the obligation to disclose UBS’ shareholdings shown in GSP in the assigned jurisdictions and per the assigned rules
Prepare the relevant disclosures for sign-off in a timely manner to allow for the review and sign-off ahead of the regulatory deadline; ensure timely submission of the disclosures
Maintain up to date and detailed knowledge of the various rules and regulations on shareholder reporting obligations in the assigned jurisdictions
Potentially create and update holding rules and reporting rules in the GSP systems used for disclosure purposes; ensure that existing holdings rules are valid, accurate and up to date
Actively seek out and escalate opportunities for improvement of processes and procedures
Establish and maintain good relationships with Regulators, Exchanges, other areas within the Bank, GSP colleagues based in other jurisdictions and colleagues from our service provider based in India
Provide cover for colleagues’ absences and holidays and public holidays, if needed
Ensure that the processes performed within your role are formally described and documented and that they are valid, accurate and up to date
An ability to complete tasks accurately and on time
An ability to identify and escalate relevant issues on a timely basis
An inclusive approach to teamwork, and the ability to generate team spirit
Role may be based in Stamford, CT, Weehawken, NJ or Nashville, TN
LI-EL1

Bilingual Regulatory Reporting Analyst Resume Examples & Samples

Prepare and submit regulatory reports timely and accurately; prepare and manage other corporate processes/requirements
Manage Management Control Assessment (MCA) process for Finance
Prepare monthly closing reconciliation report from GL to SMART (Program 93), analyze differences and resolve appropriately
Manage BASEL reporting process, matching of contract level information, analyze and review Optima results for accuracy in Loan Loss reserve (LLR) and Risk Weighted Assets (RWA). Support management in assessing impact of transactions in LLR and RWA
Prepare the monthly / quarterly regulatory reports and analyze results to achieve reporting accuracy; assure proper and timely submission. Prepare and document variance analysis and manage relevant inquiries from the various areas, such as corporate regulatory and LATAM region. Reports include, among others
Country Exposure report
SFAS 107
TIC B reports (BC / BL / BQ2 / BQ3)
GARS
Cash Flows
Analyze applicable monthly or quarterly new account communications from Corporate Reporting and incorporate into the reporting process
Manage the MCA process for Finance (MCA Coordinator): review controls and related step tests to assure they address key issues, incorporate revisions/hand-off to applicable Citi system, distribute tests within the unit, and manage the overall quarterly process. Perform tests as necessary
Perform RRIA review over regulatory reports, as required by Corporate Reporting
Monitor and analyze non-performing loans and prepare the monthly or quarterly reports as needed
Prepare monthly remittance entries
Produce monthly adjusted general ledger
Maintain strong communication with the FRO to assure a smooth and coordinated process is in place
Prepare other regulatory reports that may surface through time. Local Regulatory Reporting
Prepare Citibank NA Puerto Rico regulatory reports that are filed with the Office of the Commissioner of Financial Institutions or other regulatory agency, ensuring accuracy and timely submission: o Call Report - International Banking Entity o Call Report Citibank Puerto Rico o Report on Collateral requirement for Government Funds and Chapter 13 accounts o FHA / Mortgage Delinquency report o Other local regulatory reports as may surface in time
Bachelors Degree in Accounting, CPA preferred
Candidate must have 5 to 7 years of experience in Accounting, preferably within the banking industry
Ability to communicate well, verbally and in writing in both English and Spanish
Superior analytical skills, Ability to solve problems, excellent interpersonal skills, ability to travel to the US or LATAM countries when required
Ability to attend meetings in and outside the office premises
Candidate must have the ability to work late hours, weekend and/or holidays with tight deadlines, as required by Finance calendar
Results oriented requiring minimum supervision
Ability to adapt to rapid changing environment, multitasking, Quality & Service Oriented. Able to work under pressure
Candidate must be able to communicate at all management levels

CIB F&BM Derivative Regulatory Reporting Analyst Resume Examples & Samples

Report on domestic derivative netting on a weekly and monthly basis measuring variance’s between time periods. Provide communication analysis to Corporate Reporting
Report on exchange traded product balances on a quarterly basis interacting with businesses to understand major drivers contributing to variances. Provide robust commentary which is used in Federal disclosures
Execute tasks within aggressive time frame
Multi-task in an ever changing environment

Regulatory Reporting Analyst Resume Examples & Samples

Preparation & delivery of the daily, weekly, monthly & quarterly statistical/regulatory reporting returns
Liaising with multiple departments of the appropriate countries (including Financial Control, Treasury, Risk Department) to resolve issues
Preparing and updating procedures for all returns as required
Maintenance and further development of key controls & reports including reconciliations, static data & variance analysis
Provide support to local Finance on an ad-hoc basis (e.g. audits, regulatory inquiries)
Check and ensure that procedures and policies related to the information provided are in place and adequately applied
Higher degree in accouting or finance
Excellent written and spoken English
2-5 years of experience in Accounting and/or Financial reporting
Prior experience in a statistical and/or regulatory reporting role would be an advantage
Advanced MS Excel and Access knowledge
Additional Western European language knowledge is advantageous

Bilingual Regulatory Reporting Analyst Resume Examples & Samples

Responsible for BASEL reporting, matching of contract level information, analyze and review Optima results for accuracy in Loan Loss reserve (LLR) and Risk Weighted Assets (RWA). Support management in assessing impact of transactions in LLR and RWA
Perform RRIA review over regulatory reports, as required by Corporate Reporting- This entails analysis of results and initiative in assessing required changes to correct and leading implementation of said changes, whether within the Finance group or other units involved
Prepare other regulatory reports that may surface through time
Local Regulatory Reporting
Prepare Citibank NA Puerto Rico regulatory reports that are filed with the Office of the Commissioner of Financial Institutions or other regulatory agency, ensuring accuracy and timely submission
Call Report - International Banking Entity
Call Report Citibank Puerto Rico
Report on Collateral requirement for Government Funds and Chapter 13 accounts
FHA / Mortgage Delinquency report
Other local regulatory reports as may surface in time
Act as back up of the Corporate Reporting Head; support the Corporate Reporting Head as needed
Perform maintenances to the FCS general ledger, or successor system, as required: open/close accounts, cost centers, changes to hierarchy structure, etc. Perform annual purge of accounts
Provide accounting guidance and support to units as necessary- This entails analyzing identified or escalated issues, reading or researching to assess proper accounting or processing and leadership to roll-out or implement required processes to achieve proper accounting
Support the Controller in business initiatives
Perform other applicable tasks as per evolving definitions
Bachelor’s Degree in Accounting or Finance, or both fields, CPA preferred
Five to Seven (5 to 7) years of experience in Accounting and Finance within the banking industry
Strong analytical skills in Finance- This entails analyzing transaction flows- for new product or process, understanding Citi’s accounting & reporting requirements and applicability, if existing, being able to assess if changes are required- make recommendation to the required changes or process to be implemented and lead or actively participate in the implementation of the new or revised process
Ability to solve problems – Entails developing knowledge of systems used by the corporation (not only Finance), analyze root cause of the problem identified or escalated (through thorough investigation, consultation and analysis of appropriate procedures through communication with appropriate parties in or out of the country (e.g., hubs), recommending to next level supervisor course of action to solve and leadership in implementing required changes/corrective action
Ability to travel to the US or LATAM countries when required
Ability to use PC , telephone and other office equipment
Ability to work late hours, weekend and/or holidays with tight deadlines, as required by Finance calendar
Ability to adapt to rapid changing environment

Regulatory Reporting Analyst Resume Examples & Samples

Working as a team to ensure that the BAU tasks for DOIU and Regulatory Reporting are completed and any issues are identified and escalated appropriately
Interpretation and on-going review of the Disclosure of Interest (“DOI”) and Takeover Panel reporting requirements for the EMEA region
Analysing amendments to DOI Reporting requirements for the EMEA region, liaising with EMEA in-country Compliance officers to ensure that the amendments are communicated and understood and that the DOI reporting systems are maintained and updated to reflect the amended requirements
Assisting with the compilation and analysis of MIS which will be circulated to senior management
Assisting Team Manager and senior Compliance staff with project work for the Trade Surveillance and Regulatory Reporting teams
Working closely with the Firm’s Global Legal and Compliance teams, particularly with regards to communication of apparent anomalies and in conducting special investigations and responding to regulatory queries from FCA and other Competent Authorities
An academic interest in or understanding of securities trading markets beneficial
Exposure to/interest in the financial/regulatory sector would be beneficial
Ability to review and analyse complex documentation
Language skills will be advantageous but not essential
Teamwork is critical to the group and any candidate will need to display strong skills in this area
Strong technical and analytical skills required
The candidate must be able to document their work effectively and communicate ideas and conclusions in a clear and concise manner, which is appropriate to the audience
Sound judgement and ability to work under pressure

Regulatory Reporting Analyst Resume Examples & Samples

Three to five years of experience in the financial services industry
Bachelor's Degree in Finance, Accounting, or Business Administration
Excellent MS Office skills, especially Excel and Access
Excellent analytical skills and sharp with numbers
Basel capital experience

Regulatory Reporting Analyst Resume Examples & Samples

2+ years of business analyst experience
Strong IT experience
Understanding of logic and structures in data warehouses like SAP

Employee Compliance & Regulatory Reporting Analyst Resume Examples & Samples

Analyzes data for reporting and/or performance (trend) analysis
Develops decisions based on analysis gathered
Prepares complex financial budgeting, billing and business planning analysis/reports
Develops complex reports for clients, internal or external
Makes changes to established policies
Provide reports and data management information for clients, internal and/or external audiences
3+ years of Business Analysis experience in a combined business, operations and technology environment within the Financial Services industry
Must be detail-oriented, highly responsible and able to work within tight deadlines
Ability to adapt to opportunities presented through change
Advanced MS office skills including Excel and Word preferred
Demonstrate the ability to take initiative while building partnerships

Regulatory Reporting Analyst Resume Examples & Samples

Timely monitoring and assessment of legal structure entity data/transactions to help determine reportability on schedule FR Y-10 as well as Volcker entity status
Perform detailed data validation work prior to reporting data to regulator…work to resolve data quality issues with the GEMS and Business teams
Facilitate more accurate and timely reporting by building strong relationships with data providers and reporting stakeholders
Verify and perform the consolidation of regulatory reporting data utilizing provided tools
Partner with the GEMS team on tool and system requirements from regulatory reporting
Bachelors’ degree with 2+ years of regulatory reporting, operations, project management, change management, or business analyst experience
Strong analytical, time management and organizational skills, including demonstrated ability to perform data analysis using Excel
Proven data quality, governance and process skills
Strong proficiency with Microsoft Office applications (Excel, PowerPoint, Word, Project, Visio)
Must be willing to travel up to 5% of the time
Knowledge of legal structure reporting including Federal Reserve forms FR Y-10 and FR Y-6
Basic knowledge of legal entity structures

Senior Financial Regulatory Reporting Analyst Resume Examples & Samples

Bachelor's degree in Finance, Accounting, Economics or equivalent experience required
5+ years Finance or Credit Risk experience required
Must possess superior reconciliation and data quality analytics background and skill sets to perform reconciliation and data quality analytics
Demonstrated experience in data tracing desired
Previous exposure to Regulatory reporting a plus
Strong interpersonal/communication skills (oral and written) and confidence to work with multiple business partners and all levels of management
Must be resourceful with the ability to multi-task

Regulatory Reporting Analyst Quality Assurance Resume Examples & Samples

2+ years of Banking experience
Bachelor's Degree in Accounting, Finance, and/or related field
Familiarity with Bank Internal Control concepts
Hands on Regulatory Reporting or Loan Service Operations experience
Knowledge of products (i.e. loans, leases and derivatives)

Regulatory Reporting Analyst Ayala Avenue Resume Examples & Samples

Running daily and monthly reconciliations
Monitoring and resolving any issues with reconciliations
Raising any relevant tickets related to any repetitive issues
Monitoring and resolving exceptions from FSA Approved Reporting Mechanism (ARM)
Documenting and auditing all required manual changes
Liaising with and escalating any issues to the appropriate support functions
Creating and uploading manual reports to ARM
Creating an end of day summary covering all areas of the business
Dealing with and apportioning the costs to the relevant areas for the monthly Invoice from UnaVista
Identifying efficiencies and improvements to the process
Excellent analytical skills and ability to utilize a diverse toolset of analysis
Proactiveness and drive to continually improve process as well as making suggestions for enhancements to increase efficiency and accuracy of reports
Understanding the principles of Equity, derivative and Fixed Income markets
Understand the Macquarie structure and Entities
Awareness of the Transaction Reporting User Pack (TRUP) and the Method of making Transaction Reports to the FSA (SUP17)
The ability to grasp complex issues, strong analytical skills
Keen attention to detail as well as an ability to view the bigger picture
Advanced skills on Excel and other Microsoft programs
Strong commitment to continuous improvement
Previous banking experience across asset classes – or specialist knowledge in a single asset class (preferred but not required)
Experience of analytical tools for MIS and Reconciliations- databases and basic SQL(preferred but not required)
Willingness to work on a midshift schedule

Regulatory Reporting Analyst Resume Examples & Samples

Production of daily, weekly, monthly, quarterly, half-yearly and annual management and prudential regulatory reporting information along with associated commentaries
Production of capital adequacy, large exposures returns to the PRA
Production of internal management reports to the business areas in support of capital optimisation initiatives
Ensuring the appropriate control framework is in place to deliver accurate and timely external and internal reporting information,
Support the financial control change management team to deliver defined target operating architecture
Preparation, production and consolidation of daily, monthly and quarterly MI reporting
Supporting additional ad hoc MI requirements to enable the management of our capital numbers and ratios
Resolution of queries from internal and external stakeholders, ensuring a swift response and compliance with the internal policy around the distribution of sensitive data
Liaising with other global business areas including the Front office, Risk, IT, Operations as well as across Finance (Treasury, Product Control, Statutory Reporting and Regulatory) at all seniority levels
On going development of new processes, controls and IT infrastructure

Regulatory Reporting Analyst Resume Examples & Samples

Preparation & delivery of the daily, weekly, monthly & quarterly prudential regulatory returns and monitoring reports
Proactive development of current processes
Participate in future process migration activities of new countries
Excellent written and spoken English and German
2-3 years of experience in Accounting and/or Financial reporting
Prior experience in a regulatory or risk reporting role would be an advantage

Regulatory Reporting Analyst Resume Examples & Samples

Prepare journal entries for PeopleSoft general ledger
Support statutory reporting and related tasks including General and Separate Accounts
Support regulatory reporting and analysis for insurance subsidiary
Complete account reconciliations
Complete subsidiary reporting processes including subsidiary financial statements and analysis as well as interim and ultimate parent company equity pick-up and eliminations for consolidated reporting
Liaise with business partners including Business Finance Office, Corporate Actuarial, Corporate Tax, Corporate Financial Planning &Analysis, and others as needed
Support capital contributions
Work on continuous improvement to existing processes and controls
Provide clear and well-organized documentation including detailed financial calculations and analysis
Maintain process documentation for assigned responsibilities
Support reconciliations of regulatory to management reporting bases
Support audit requests for statutory and GAAP audits
Support other responsibilities and projects as needed by the department

Regulatory Reporting Analyst Resume Examples & Samples

Daily data analysis and investigation of queries for EMIR and MIFID regulatory requirements
Liaise with a range of internal business groups as well as be able to respond to client reporting queries and requests
Work to the current team lead on running the daily operational controls
Involvement regression testing system releases for existing reporting requirements and any future changes
Provide support to team lead as required

Regulatory Reporting Analyst Resume Examples & Samples

EMIR
Dodd Frank
Mifid

Regulatory Reporting Analyst Resume Examples & Samples

2+ years of Financial Analysis experience; 2+ years of Public Accounting and/or Private Industry experience
Previous experience with Financial Reporting / Statement Preparation, GAAP, and Statutory Reporting
Strong knowledge of US GAAP and Regulatory Reporting (FERC Uniform System of Accounts)

Finance Controllers Regulatory Reporting Analyst Resume Examples & Samples

Production of PRA regulatory capital reporting
Production of liquidity reporting
Ensure application of a robust control environment by performing key checks and controls proving data completeness and consistency across and between outputs
Financial product knowledge
High control sensitivity
Self-motivated and proactive - ability to communicate effectively, both orally and in writing, to a broad range of people across the firm at various levels of seniority
Ability to run with issues, get involved hands-on, and provide constant high-quality feedback
Flexible - ability to prioritize effectively under pressure in a visible area

CIB F&bm-financial Regulatory Reporting Analyst Resume Examples & Samples

Good communication skills are required
Time management skills are essential for this role, including ability to work in a dynamic environment under tight deadlines
Proficiency in Merit Business Objects and other query tools (Microsoft Access) would be an advantage
Degree qualification or equivilent
Good understanding of financial products and the associated cash flows (e.g. repo, reverse repo, cash securities)
Good understanding of derivatives and margin/collateral management
Knowledge of banking products (deposits, loans, credit facilities)
Proven ability to perform ad-hoc analysis on datasets, draw themes & key issues and communicate findings

Regulatory Reporting Analyst Resume Examples & Samples

Timely and accurate production of key daily reports – using a combination of existing and newly acquired vendor solutions to internally defined SLA’s (- 3pm)
Linkage of movement in metrics to business areas and products to identify drivers of material moves with supporting root cause analysis. Commentaries to capture salient points relevant to the users of the reports and presentation of commentary to senior management. This should capture trends in surplus capital and other key metrics
Identifying and taking the lead role to enhance controls / streamline existing processes. Leading opportunities for capital optimization and building compensating controls where relevant to mitigate manual work
Reconciliation of production data to ledgers/other available sources and resolution of material breaks with minimal managerial intervention. This may involve building alternative reconciliations where existing reconciliations are not deemed to be full proof and will involve a good understanding of the ledgers
Comparison of production methodology against applicable guidance – eg CRD IV rules (COREP reporting) to ensure ongoing compliance. This will include escalation of material issues and proposing potential options and leading through to resolution
Ownership of front to back processes including month end updates and interchanging between like processes – eg CA, LE, ALCO
Production of quarterly Common Reporting returns and monthly Prudential returns
Problem solving for routine tasks, maintaining full ownership to resolve process related issues using initiative with minimal managerial intervention and communication with the relevant stakeholders
Presentation of issues using a combination of desktop tools such as PowerPoint and time graphs and checking to ensure accuracy prior to final manager review
Good understanding of cash and derivative products
Data validation controls
Experience of working in a reporting environment in an Investment Banking firm and experience of regulatory reporting requirements
Knowledge of Capital Markets products and accounting for different products including cash securities, repos and derivatives,

Regulatory Reporting Analyst C Resume Examples & Samples

Project planning
Data mining & data gathering,
Regulatory rules interpretation,
UAT testing
Defining the BAU reporting process
5+ years experience in Banking/Finance
Bachelor's Degree in Finance, Accounting or Business

Financial Regulatory Reporting Analyst Resume Examples & Samples

Quickly comprehend the end to end global landscape and BAU process including system and process flow
Perform root cause analysis and explain drivers of reconciliation differences, data quality issues, and variance analysis to key customers
Interact with IT teams to synchronize Risk system and applications (including servers, tools/utilities, report management, etc.)
Build partnerships with key stakeholders from multiple work areas by engendering trust; bring diverse perspective together to address issues
Recommend process re-engineering and implement where accountable
Assess effectiveness of controls, communicate gaps to management, and enhance where required
Develop strong knowledge of businesses/products and underlying detailed data
Deliver requirements under tight deadlines
Bachelor's degree in Finance or Accounting required. Masters or MBA degree preferred
1+ years Finance or Credit Risk experience
1+ years’experience at large financial institution preferred
Must possess strong reconciliation and analytical background and skill sets to understand credit risk modeling and application of data
Consumer banking products experience or exposure is preferred
Ability to work under pressure and deliver against tight deadlines

Senior Regulatory Reporting Analyst Resume Examples & Samples

Prepares detailed significant line item analytics of the TIAA legal entity Statutory
Maintains current knowledge & familiarity with published Statutory accounting
Regularly interacts with mid-level management and peer associates within the
Experience in financial services accounting and reporting functions required
Strong Understanding of Financial Statement Reporting basics with a broad

Derivatives Regulatory Reporting Analyst Resume Examples & Samples

Investigate and resolve Intellimatch position match breaks
Work with IT and Ops to identify the issues and resolve
Using FTP files or Exman, investigate all NACK and WACK reporting breaks
Categorise the breaks
Confirm break has been fixed, resend the corrected NACK/WACK back to DTCC via SDR
Coordinate work of junior team members with process and daily tasks

Regulatory Reporting Analyst Resume Examples & Samples

2+ years of experience as a Business Analyst
Strong understanding of IT functions
Understand logic and structures in data warehouses
Collaborative and team-oriented

Regulatory Reporting Analyst Resume Examples & Samples

10+ years of regulatory reporting experience out of a broker-dealer
Exceptional analytical abilities
15c3-3 reporting experience
Exceptional interpersonal and organizational skills

Senior Derivatives Regulatory Reporting Analyst Resume Examples & Samples

Manage a small team of staff
Using File Transfer Protocol (FTP) files or Exman, investigate all NACK and WACK reporting breaks
Categorize the breaks
Enter Incident tickets so that the source teams can fix the root cause of breaks
Confirm break has been fixed, resend the corrected NACK/WACK back to Depository Trust & Clearing Corporation (DTCC) via SDR
Train new team members

Regulatory Reporting Analyst Resume Examples & Samples

3+ years of relevant experience in the Banking / Finance industry
Previous experience with Entry Level Accounting and Regulatory Reporting (Bank)
Strong focus on Internal Controls

Regulatory Reporting Analyst Resume Examples & Samples

8-12 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank
Ability to work independently, influence and engage across the organization
Strong understanding of, and direct experience with Financial, Product and Regulatory Reporting
Strong understanding of US GAAP consolidation rules
Demonstrated desire to add significant value within a fast-paced environment
Public Accounting experience with Financial Services clients

Regulatory Reporting Analyst Resume Examples & Samples

Monitoring and reviewing the production of the daily PRA credit and market risk capital calculations
Reviewing the monthly calculations and monitoring and further developing the control environment
Assisting management with the provision and analysis of regulatory information
Manage and provide guidance to an offshore production team
Review processes and suggest improvements

Remuneration Regulatory Reporting Analyst Resume Examples & Samples

1-2 year Compensation/systems/analytics experience
Advanced Excel, VBA, MS Access skills would be an advantage, or willingness to learn
Interest in HR compensation and analysis. Experience with working with HR systems (e.g., PeopleSoft) and financial modelling an advantage
Excellent analytical skills and detail orientated
Good time management and organisation skills

Regulatory Reporting Analyst Resume Examples & Samples

Vision and direction
Assist with the definition and articulates any strategic direction for the Regulatory function, with review as required. Is visionary – communicates the big picture which enthuses commitment. Has genuine positive presence. Demonstrates and creates self-coaching culture amongst peers and operates with uncompromising values. Acts with integrity in carrying out this controlled function
Authority and gravitas
Earns respect of others through dedication, dignity, wisdom and talent. Deep expertise with wide industry exposure and global mind-set. Acknowledged thought analyst in domain subject matter
At ease with complex issues and subjects. Can maintain independence of thought and position under pressure. Acts with due skill, care and diligence in carrying out this control function. Ensures decisions are made and followed through
Can negotiate in tough situations with both internal and external groups. Can settle differences with minimum noise, and can win concessions without damaging relationships. Can be direct and forceful as well as diplomatic. Gains trust quickly of other parties to the negotiations. Has a good sense of timing
Understands the big picture and the benefit of relationships inside and outside the organisation. Extensive net-working and communication skills. Creates a well of support and ensures that he/she understands values and issues important to their stakeholders
Cultural direction and embedding
Drives action to ensure a culture of integrity and superior operating standards, ensuring legal and regulatory standards are core to the organization. Embeds a customer focused culture
Builds relationships easily and effectively with others irrespective of their status or background. Able to establish professional relationships with people regardless of their status. Acts with integrity towards others and builds trust. Monitors and modifies relationships to maintain professional integrity and independence
Issue and conflict management
Identifies issues quickly. Builds appropriate rapport and builds constructive and effective relationships. Uses diplomacy and tact to unblock problems and issues. Resolves differences through negotiation skills to identify win/win solutions to achieve progress. Can collectively manage plural points of view
People Management and teaming
Motivational skills, team worker as well as able to work on own initiative
Market knowledge
Insight to Regulatory needs and the business segment in which they operate, the structure of the financial services industry (key players, products and operations.) Knowledge of the economic, political and legal environment in which the firm operates
Understanding of Business strategy and model
Has a deep understanding of the firm’s model and position in relation to its peers, key sources of reporting and the impact of external factors on the business strategy and model. Identifies and monitors the key risks and vulnerabilities relating to the firm’s business strategy and model and reports these
Understanding of risk analysis and risk control
Wide-ranging and diverse business management concepts and statutory requirements. Including the controllership frameworks to ensure the effective deployment in the business
Insight to Governance oversight and controls
Contribute to, establish and maintain rigorous governance structures
Deep knowledge of Regulatory framework and requirements
Embed regulatory philosophy into the firms operating standards, customer and control mechanisms
Qualified Accountant or equivalent
Proven experience in Financial Services environment
Proven track record in working within a team
Established credibility and experience interfacing with peers and managers
Business perspective with proven analytical capability
Highly articulate and confident communicator
Strong IT/System knowledge
Solid understanding of UK regulatory requirements
Regulatory Reporting experience

Rohq-fro-regulatory Reporting Analyst Resume Examples & Samples

Performing process reviews/enhancement/streamlining and UAT system testing; coordinate with Country Fincon on the implementation of reporting changes which includes submission of comprehensive business specifications where technology enhancements are required, providing training and user testing resources to test enhancements
Other responsibilities that include ensuring mapping of local country codes (GL) to reporting system structures are consistent with Citi policies and standardization objectives, review and validation of country's financial and management data hand-off to highlight data integrity issues
Graduate of Finance, Accounting or any Business related courses
Preferably with 1 to 3 years of work experience
Foster teamwork
Very good communications skills

Regulatory Reporting Analyst Resume Examples & Samples

Providing expertise on TR requirements to working group members for all relevant asset classes (principally; Cash products, securities or OTC with underlying securities, ETD, FI Sec, Swaps)
Acting as centre of process excellence for all F2B processes across relevant asset classes for TR. Trouble shooting and analysis into issues or possible breeches
Migration to strategic platform – ensuring that issues or errors are identified, understood and communicated. Liaison with Compliance for all Ops related issues; keeping official breeches/ issues logs and hosting weekly review meetings
Working across relevant jurisdictions to ensure reporting requirements are understood and met. Fielding data and process queries (internal, external)
Adhering to daily, weekly and monthly controls. Production of relevant MI to support the TR process. Identifying, rectifying, reconciling data & process issues. Provision of data to Compliance
A level of SME knowledge will be expected to be developed with regard to fulfilling the requirements of the various products
Exposure to departments within Ops, IT, Compliance will be on a global basis and will enable the candidate to understand the interactions between the teams
F2B product flow knowledge will be developed across multiple asset classes

Regulatory Reporting Analyst Resume Examples & Samples

Bachelor's and/or Master's degree in Finance, Accounting or relevant work experience
1+ yrs finance related exp. and/or financial industry experience
Advanced Microsoft Excel and Powerpoint Skills; basic understanding of SQL preferred
Knowledge and exposure to Derivative products, as well as, related regulatory reporting requirements will be an advantage
Relevant experience on Basel Regulatory (FFIEC) Reporting is preferred
Strong communication skills given exposure / interaction with senior business leads is required
Possess strong team building, planning and work skills driven by process improvement

Regulatory Reporting Analyst Resume Examples & Samples

Three or more years experience or equivalent training in project management or business analyst roles for Regulatory Reporting Analyst I; five or more years required for Regulatory Reporting Analyst II
Bachelor’s degree in Business Administration or Computer Science related field
Professional working proficiency of Spanish preferred
Must be self-motivated and know when to seek guidance
Understanding of the role of data, and data quality, in an organization as it relates to business and technology
Experience working effectively with support staff, and many layers of management on a consistent basis
Strong process and project oriented skills with the ability to work well under pressure and meet strict deadlines

Senior Branch Regulatory Reporting Analyst Resume Examples & Samples

FR Y-9C Call Report - "Consolidated Financial Statements for Holding Companies"
FR Y-9LP – “Parent Company Only Financial Statements for Large Holding Companies”
FR Y-8 – “The Bank Holding Company Report of Insured Depository Institutions’ Section 23A Transactions with Affiliates”
FR Y-11 – “Financial Statements of U.S. Nonbank Subsidiaries of U.S. Holding Companies”
FR Y-12 – “Consolidated Holding Company Report of Equity Investments in Nonfinancial Companies”
FFIEC 009 Report - "Country Exposure Report for U.S. Banks and Bank Holding Companies"
Contributing to the effective design, development, implementation and rollout of key regulatory and business processes and systems to support regulatory reporting and controls across legal entities
Responsible for accessing technological solutions as a preparer and lead tester for the complete submission of all ITG tickets to Finance IT, for inclusion in the monthly AXIOM release, and signoff for all the regulatory reporting monthly enhancements and General Ledger Release updates impacting the IHC
The role requires strong communication skills, as it faces off with areas within Finance, Operations and Front Office management
Four year bachelor degree or international equivalent (Finance/Accounting preferred)
10 – 15 years of experience in U.S. bank regulatory and/or financial reporting
BA/BS Accounting, or related business focus

Operational Risk-regulatory Reporting Analyst Resume Examples & Samples

Bachelors’ degree or, in lieu of degree, four years relevant work experience
Minimum of 5 years' compliance administration/analysis or related experience
Excellent written, verbal communication and presentation skills
Exceptional ability to multi-task and prioritize projects
Ability to read and understand Federal and State guidance, laws and regulations
Ability to coordinate and work collaboratively with internal and external contacts on a daily basis
Proficient personal computer skills to include spreadsheet, word-processing, database systems and other software utilized by the department
Strong understanding of bank-wide systems, securities processing systems
Two years supervisory or demonstrated leadership experience preferred

Regulatory Reporting Analyst, Temporary Year Resume Examples & Samples

Bachelor Degree (university of applied sciences), ideally in Law, Economics or Business Administration
Good knowledge of Financial Markets, Banking Industry and products (prior Banking experience is an advantage)
Willingness to perform work to a constantly high level of accuracy
Extensive MS Excel skills

Regulatory Reporting Analyst Resume Examples & Samples

Checking if all daily files have been received and investigate any issues
Running the daily controls over all reportable trades
Investigating all issues that are raised from the controls
Monitoring and resolving exceptions
Ensuring desktop procedures adequately reflect current processes
Understanding of the principles of Equity and Fixed Income markets
Flexibility to handle on-going change in business and processes
Sound written and verbal communication skills to liaise with stakeholders across the Group
The ability to work to deadlines whilst maintaining a high degree of accuracy and quality
Strong relationship building and teamwork skills
Previous experience dealing with Regulatory reports in the financial industry (preferred but not required)
Drive and initiative to continually improve process as well as making suggestions for enhancements to increase efficiency and accuracy of reports
Willingness to work on a mid-shift schedule

T.o.p Regulatory Reporting Analyst Resume Examples & Samples

Producing report submissions for regulators and producing regular MI
Fielding data and process queries (internal ); Preparing weekly RI position emails
Escalating system issues and potential risks/delays promptly; Archiving reports and data; Identifying, rectifying, reconciling data & process issues
Working across various groups to agree, document and implement the necessary controls to support the reporting process
Changes to improve processes for TOP and to support requirement changes to TOP rules; NBI’s, upstream system changes and migrations; General process F2B review to improve efficiency, control and manage risk
Ability to follow key stroke procedures, but with sufficient skills to challenge where discrepancies occur
A knowledge of Equity business flow would be an advantage
The ability to work as a small team, but to take ownership of individual tasks

Regulatory Reporting Analyst Resume Examples & Samples

Maintenance and further development of controls & reports including reconciliations, static data & variance analysis
Liaising with multiple departments of the covered countries (including Financial Control, Treasury, Risk Departments) to resolve issues
Provide support to country Finance teams on an ad-hoc basis (e.g. audits, regulatory inquiries)
Check and ensure that procedures and policies are applied to adequately cover rules and regulations
Participate in future process migrations from new countries
Support the work of the Financial Reporting Manager by executing further relevant tasks he/she allocates
University/College degree in Accounting/Finance
0-2 years of Accounting or financial reporting or audit experience
Experience with Basel III is advantageous

Regulatory Reporting Analyst Resume Examples & Samples

2+ years of Public Accounting and/or Private Industry experience
Previous Broker Dealer experience
Knowledge of 15c3-1 & 15c3-3
Series 27 and/or 99 license

Regulatory Reporting Analyst Resume Examples & Samples

Conducting/revising the legal entity scoping for all entities within the TIAA family of companies for regulatory reporting purposes
Assisting the regulatory reporting team with the preparation and submission of all applicable regulatory reports and other industry surveys
Maintaining supporting documentation for audit purposes
Participating in the implementation of process enhancements and documenting system controls and procedures
Preparing responses to ad hoc requests for analyses
Other assigned duties as needed to support departmental responsibilities
Bachelor’s degree in Accounting, Finance or Business Administration or related discipline
Knowledge and understanding of Generally Accepted Accounting Principles and/or statutory accounting principles to perform standard regulatory reporting tasks
Analytical skills to review information received to facilitate obtaining business explanation for fluctuations
Technical knowledge to identify ways to build new and enhance existing processes to complete assigned responsibilities with evolving requirements
Ability to learn new reporting requirements and systems to facilitate such information to regulators and other agencies
Working knowledge of OBIEE
Working toward or attained Certified Public Accountant designation

Cib-operation Regulatory Reporting Analyst Resume Examples & Samples

Support internal or external regulatory reporting
Responsible for completing assignments and coordinating related activities
Responsible for day to day activities assigned and ensure processes are in line with policies and regulations
Perform detailed analysis on product features, data captured in system and contribute for detailed business requirements
Act as subject matter expert of reporting requirements for reports assigned and able to assist team lead in providing training to impacted parties
Participate in system User acceptance testing and review test results
Ensure compliance to corporate and regulatory requirements which are relevant to the department
Regularly review & update Standard Operating Procedures to ensure effectiveness in control processes
Recommends and implements enhancements to improve effectiveness and efficiency of services and systems
Demonstrates high energy and passion for their role, responsibility and team player
Good communication skills including good command of English (oral & written)
Preferably with treasury or cash management product knowledge and good understanding of local regulatory reporting requirements
Able to organize, fast learner and independent in carrying out duties/ assignment
Good PC applications knowledge (Excel, MSWord, Power Point, etc.)
Able to Multi task & possess good time management
Meticulous and attention to detail
Problem solving skill

Regulatory Reporting Analyst Resume Examples & Samples

Intensive attention to detail and the ability to analyse and process large amounts of data
Excellent team player, ambitious and structured working attitudes
Fluency in English is a must, Fluency in German is an advantage as well as for additional language skills

VP-regulatory Reporting Analyst Resume Examples & Samples

Bachelor’s Degree in a financial discipline such as Accounting or Finance a plus
7 to 10 years stock brokerage and/or bank reporting experience
Federal Reserve TIC reporting preferred
Knowledge of Bank reporting such as Basel III, FR-Y9C, FFIEC 101, Deposit Reporting and LCR regulation preferred
Strong 15c3-1 and 15c3-3 knowledge and experience a plus

Regulatory Reporting Analyst Resume Examples & Samples

Capital Markets experience
Knowledge of Broker Dealers
SEC / FINRA reporting
Knowledge of process flows and key controls
5+ years of Audit or related experience
Experience with major Global Investment Bank

Cib-operation Regulatory Reporting Analyst Resume Examples & Samples

Administering defined procedures, analysis and report preparation, and exception processing including documenting the process flows
Participate in system User acceptance testing
Assist team lead in day-to-day resolution of operation matter and the execution of tasks timely, accurately
Regularly review & update Standard Operating Procedures to improve efficiency & control

Regulatory Reporting Analyst Resume Examples & Samples

Work with the Institutional Client Group (ICG) Finance and Risk partners to identify, prioritize and implement initiatives to optimize and improve organization’s overall risk weighted assets. This will require an understanding of finance and accounting, as well as key product dynamics including the impact of collateral, risk ratings and other drivers for Basel's RWA calculation
Support the delivery of identified projects/initiatives which have been highlighted by the business as key deliverables for Basel 3. This will require coordination with ICG Finance/Risk and Technology partners
Prepare and present senior management metrics highlighting key issues and remediation status, progress on strategic initiatives, as well as, other key items requiring Senior Management escalation and sponsorship. Implement and execute operational procedures, ensuring key controls are in consistently executed, continuously reviewed and optimized for this fluid Basel reporting/regulatory environment
Represent the organization with external parties including auditors and regulators
Bachelor's and/or Master's degree in Finance, Accounting or related degree
3+ years related Finance experience
Advanced Microsoft Excel Skills; Basic understanding of SQL required
Knowledge and exposure to Wholesale and Securitization products, as well as, related Basel reporting requirements will be an advantage
Exposure to Citi proprietary Finance and Risk reporting data flows and franchise systems (Smart, FRS, Pearl, Optima) is highly preferred

IHC Regulatory Reporting Analyst Resume Examples & Samples

Support the preparation for the Regulatory Reports and Disclosures for the IHC
Entity Consolidation in accordance with US GAAP
Projects related to Accounting Changes or Process Efficiencies
Maintain relationships and communication with Internal / External Audit and Regulators to ensure proper coordination and liaison, validation and control, timely and accurate responses are provided
Communicate and interact with other areas across the organization including: Business Finance, GTO, Compliance and regional management to resolve issues pertaining to Regulatory Reporting
Participate in working groups as it relates to regulatory reform and understanding the impact on the various legal entities
Participate in various ad-hoc projects related to IHC, Accounting Changes or Process Efficiencies
5 to 7 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank with broad knowledge of bank holding company and Regulatory Reporting
Outstanding interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders
Proven professional with strong leadership skills. The ability to work independently, influence and engage across the organization
Strong understanding of, and direct experience with Financial, Product and Regulatory Reporting, in addition to having broad based knowledge in the financial management of bank holding companies, bank related entities, and/or broker-dealer
Strong understanding of US GAAP consolidation rules, with ability to review consolidation issues under IFRS (DB Group) as well as US GAAP (Americas region) reporting
B.S. degree required
Public Accounting experience with Financial Services clients a plus

Senior Regulatory Reporting Analyst Ccar Resume Examples & Samples

Partner with Risk, Finance, and BATS, for developing CNB's FR Y-14Q framework
Ensure timely delivery of reports to RBC HQ including co-coordinating with business credit risk, technology and finance teams
Drive firm-wide automation process in collaboration with BATS

SAP Program Regulatory Reporting Analyst Resume Examples & Samples

Understand and articulate the UK Regulatory business requirements and, through the development of functional specifications (working closely with SMEs in CIB Controllers and other project workstream leads), articulate said requirements to our technology partners
Build and maintain close working relationship with the core project team & GFT teams
Ongoing support in all phases of the project through testing and implementation, ensuring accuracy and timely delivery of end solution to our user base
Gather, understand and document UK Regulatory business requirements and support the preparation of functional specifications
Development / review of detailed operating model from a business and process perspective (touch-point into regional / global operating model)
Define and document requirements e.g. controlled migration of ref. data, setup of inbound and outbound data and product systems feeds to the target UK Regulatory environment
Chartered Accountant with 1-2 years experience, preferably with financial services industry
Good academics and strong accounting knowledge
Strong accounting knowledge with experience in Book closure and finalizing accounts
Strong control mindset. Analytical skills
Ability to multi-task under considerable time pressure, whilst maintaining a high degree of accuracy and quality
Good team player and quick learner
Good Communication and organizational skills including partnering skills and proactiveness
Strong PC skills including MS Excel, MS Word, MS Access and Outlook
Investment banking product knowledge including derivatives, equities and debt securities

Regulatory Reporting Analyst Resume Examples & Samples

Participate in the management and oversight of the CASS Resolution Packs (CASS RP) including the monthly certification process, QA Testing and change management
Maintain accurate and up to date procedures and process flows
Knowledge of the regulatory environment and FCA regulations
Ideally, working knowledge of the BNY Mellon custody environment and operating models
Technical ability and an understanding of the management and regulatory reporting environment
Able to work independently, but also to work across diverse regional and functional teams
Excellent oral and written communication and interpersonal skills

Regulatory Reporting Analyst Resume Examples & Samples

Responsible for Quarterly processing and reconciliation of Balance Sheet and Income Statement accounts and other lines as needed to calculate and prepare the Q-Memo Report
This person will be responsible to review and clear edit checks and dimension restrictions for Q-Memo, Cash Flow and Fas107 reporting and clearing of reconciliation breaks between CRC/ Full Suite / local FDL and FRS
Answer baseline questions from internal customers, referring and participating in resolution of more complex issues discovered
Ability to execute tasks in a high-pressure environment
Able to multi-task and work in a fast paced environment
Minimum 4/5+ years relevant experience in financial analysis and reporting and /or financial services is beneficial
Must be able to think analytically and have a desire to learn about Citigroup's businesses

Regulatory Reporting Analyst Resume Examples & Samples

70% Preparation of regulatory reports - ensure the accurate and timely preparation and filing of various financial regulatory reports for the Bank and Holding Company in compliance with all regulatory requirements, Company policies and procedures, and generally accepted accounting principles. Produce organized work papers. Recommend procedural changes / process improvement opportunities to streamline our process, anticipate problems, enhance accuracy, completeness and timeliness of the reporting process
20% Prepare and maintain current, accurate, and detail standalone desktop procedures in a standard that meet the regulatory standard. Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions. Communicate the reporting and data needs to business partners
10% Ad hoc projects and reporting, as requested, including participation in the regulatory reporting automation project

Regulatory Reporting Analyst, Associate Resume Examples & Samples

RC-B Securities
RC-D Trading Assets and Liabilities
RC-L Derivatives & Off-Balance Sheet Items
RC-Q Assets & Liabilities Measured at Fair Value
RC-S Servicing, Securitization & Asset Sale Activities

Operations Regulatory Reporting Analyst Resume Examples & Samples

Regular interaction with front office, tech, and compliance personnel
Perform comprehensive reviews of reporting streams to identify gaps/inefficiencies
Work with internal/external business partners as needed to identify and document process and system enhancements
Assess and monitor existing control environment for all in scope regulatory reporting
Communicate business status, initiatives, accomplishments and needs to management both verbally and via regular reporting
Executing tactical plan and ensuring goals are met in accordance with the overall strategic direction of the firm
Participates in cross functional initiatives to improve policies and or program development
Work with appropriate Compliance, Legal, Fraud and Audit resources to maintain regulatory compliance and sufficient controls for all functions
Maintain knowledge of operational business processes, policies and systems
Promotes open lines of communication with business partners to facilitate comprehension of related operational initiatives

Regulatory Reporting Analyst Resume Examples & Samples

Complete administrative tasks upon the submission of disclosures
Liaise with other department colleagues, clients and regulators in relation to ad hoc requests
Previous experience of working in a Regulatory Reporting function
Be proactive, demonstrate a willingness to take on new challenges and be a team player
Advanced knowledge of Excel and Word

Regulatory Reporting Analyst Resume Examples & Samples

Prepare timely and accurate TPA (Third Party Administrator) filings by collecting and compiling financial and statistical data from various sources. Lead communication related to regulatory filing status and deliverables to management and senior leaders
Collaborate with accounting teams for quarterly analytical package preparation. Review work performed by others. Facilitate quarterly financial statements review meetings with the controllership and the regulatory reporting teams and share key financial highlights
Support preparation of annual healthcare reform related filings in collaboration with the accounting and the regulatory reporting teams
Support external audits and internal controls assessment projects. Prepare audit related deliverables and review work performed by others in support of external audits
Support monthly close process by reviewing key financial statements, control analytics and trends, identify potential issues and collaborate with the accounting teams for timely explanations
Review Specialty’s inter-segment accounting control analytics, identify discrepancies and hold monthly meeting with the inter-segment accounting teams to coordinate resolution
Bachelor’s degree in Accounting/Finance or related discipline
1+ year accounting and/or finance experience
Proven experience with general ledger, month-end close , journal entries, and account reconciliations
Understanding of Generally Accepted Accounting Principles (GAAP)

Regulatory Reporting Analyst Resume Examples & Samples

Work with the ICG Finance and Risk partners to identify, prioritize and implement initiatives to optimize and improve organization’s overall risk weighted assets. This will require an understanding of finance and accounting, as well as key product dynamics including the impact of collateral, risk ratings and other drivers for Basel's RWA calculation. S
Support the delivery of identified projects/initiatives which have been highlighted by the business as key deliverables for Basel 3. This will require coordination with ICG Finance/Risk and Technology partners. Prepare and present senior management metrics highlighting key issues and remediation status, progress on strategic initiatives, as well as, other key items requiring Senior Management escalation and sponsorship
Implement and execute operational procedures, ensuring key controls are in consistently executed, continuously reviewed and optimized for this fluid Basel reporting/regulatory environment. Represent the organization with external parties including auditors and regulators
2+ yrs of related experience in Finance
Knowledge and exposure to Wholesale and Securitization products, as well as, related Basel III reporting requirements will be an advantage
Relevant experience on Basel III Regulatory (FFIEC) Reporting is preferred

Regulatory Reporting Analyst Resume Examples & Samples

This person will be responsible for making sure that the Comprehensive Capital Analysis Review (CCAR) submission is complete, correct and timely delivered
Support Senior Analyst with ad-hoc data analysis and system process flow analysis to identify issues and propose system design solutions
Provide support for downstream processes such as the stress testing, loan loss and other risk related processes
Opportunity to work with the Business and Technology teams to design, test and deploy technology solutions
Perform data reconciliation between risk and finance systems
University degree in economic area
At least 2 years of relevant professional experience, performing similar tasks in a bank or in a financial institution
Knowledge of financial and regulatory risk reporting
A high competency level with MS Access/Excel
Data analysis and problem solving skills
Strong sense of commitment and problem solving attitude
Result oriented

Regulatory Reporting Analyst Resume Examples & Samples

Assist with preparing monthly FOCUS Report and Daily customer reserve computations
Prepare other monthly regulatory reports as required by NYSE/NASD/NFA and SEC. such as Futures Segregated and Secured daily calculations, FINRA SSOI reports
Work with operations and treasury departments in order to resolve any issues, which may arise
Assist with ad-hoc reporting responsibilities should also be expected
Some accounting responsibilities, i.e. Suspense Gross-up and CNS entries

Senior Regulatory Reporting Analyst Resume Examples & Samples

Establish and maintain strong, collaborative relationships with finance partners and other internal clients to understand the business and provide ongoing guidance on new business initiatives
Monitor, evaluate and communicate the effects of proposed U.S. regulatory reporting changes
Liaise with various regulators, peer institutions and industry groups to assess the impact and treatment of new products and initiatives developed internally and regulatory requirements as they are promulgated by regulatory agencies
Influence the regulatory change process by preparing comment letters to regulators and representing Citizens externally on regulatory issues through participation in various industry groups
Manage the end to end implementation of new regulatory requirements and development of relevant policies and procedures and transition work to business unit operational teams as well as Corporate Regulatory Reporting
Interpret rules and guide application to Citizens processes
Test for effective and successful implementation to the final correct Regulatory reporting
Work independently to research and analyze proposed and/or completed transactions, and author technical regulatory guidance memorandums documenting those transactions
Prepare and deliver training programs and other communications to educate the global finance organization as well as business partners and operations groups on regulatory changes
Work in a fast paced, challenging, and collaborative team environment with multiple and competing priorities
7+ years of accounting experience, preferably within the financial services industry
Bank Regulatory Reporting experience at a large financial institution such as FR Y-9C/LP, Call Reports
Knowledge of Regulatory Rules and instructions
Bank Regulatory Capital knowledge
Bachelor’s degree in Accounting or Finance; Master’s degree a plus
Ability to manage time effectively, prioritize competing deliverables, and meet deadlines
Strong interpersonal skills and an ability to work effectively in a team environment
Knowledge of MS Office applications, primarily Word, Excel, and PowerPoint

Regulatory Reporting Analyst Resume Examples & Samples

Production and review of quarterly CRDIV COREP, Large Exposures, LCR and NSFR
Production and review of monthly, quarterly and semi-annual PRA submissions
Production and review of monthly, quarterly and annual Bank of England submissions
Daily Monitoring, analysis and commentary and communication
Cross training and providing absence cover and reducing key man dependency
Reconciliations of all work to appropriate independent sources
Diligence including substantiation of moves, trending analysis and commentary
Investigation of issues and resolution where possible
Monitoring and effecting update of static data
Assisting with constant ongoing improvements to processes
Simplifying, streamlining and automations where appropriate
Engagement with various ongoing Regulatory projects as SME
Pro-actively and positively engaging with challenging and changing environment

MIS Balance Sheet Regulatory Reporting Analyst Resume Examples & Samples

Positively impact the design and development of the MIS Balance Sheet function within Group Finance with appropriate alignment to the Target Operating Model and bank-wide standards
Manage group responsible for the preparation of daily, monthly, and quarterly MIS Balance Sheet under multiple regulatory bodies and ensure that the filings are delivered accurately and timely to front office and head office
Review the work performed by the team and have a thorough understanding of the balance sheet reported
Ensure quality and controls are in place and adhered to across all aspects of the MIS Balance Sheet activities including the execution and reporting of the process
Manage the expectations from the sending location on overall delivery and in terms of timelines, quality and efficiency
Management of relationship with front office, head office, finance change, regulators and auditors (both internal and external)
Development of the MIS Balance Sheet team
Primary contact for audit and front office queries
Coordination of any Financial Accounting related projects and New Business review and sign off

Regulatory Reporting Analyst Resume Examples & Samples

Preparing SEC Form PF, Form CPO-PQR, AIFMD, Form 13F and other regulatory reports for clients
Managing client relationships
Significant systems development responsibilities
Coordinating New York operations with offices worldwide for seamless client coverage
Developing new regulatory products
Developing solutions to analytical problems independently
Bachelors degree in accounting, finance or related field
1+ years of experience in the finance industry (ex. Audit, Product Control, Fund Accounting, Hedge Funds)
Working knowledge of financial products, especially fixed income and derivatives
Prior hedge fund experience
Prior experience with regulatory reporting a plus
Capability to implement and improve structured processes
Form PF, PQR, and AIFMD experience is a plus
CPA, CFA a plus

C-senior Regulatory Reporting Analyst Resume Examples & Samples

Prepare, analyze and file regulatory reports and schedules
Review, evaluate and implement process improvements, as appropriate
Assist in month end regulatory reporting post-closing process
Work with IT, Operations, and other departments on various firm-wide projects
Assist with the external audits, internal audits and regulatory examinations
This position will require relocation to our St. Petersburg, FL Headquarters office.*
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 and Peoplesoft/Computron systems
MS Excel - (vlookups, pivot tables, macros, etc.)
Multi-tasking on various projects
Analyzing financial information
Working on IT/Technology related projects
Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases
Researching broker/dealer regulatory issues
Bachelor’s Degree (B.A.) in Accounting or Finance and a minimum of seven (7) years’ experience in a broker/dealer regulatory reporting role

Listed Derivatives Regulatory Reporting Analyst Resume Examples & Samples

Challenges Status quo
A willingness to engage in a wide range of issues at all levels of detail will be vital
Ability to multi-task, prioritize and be flexible to changing priorities and demonstrate good organizational skills
Ability to communicate effectively and confidently across all levels. Ability to confidently face off to senior management across divisions
Good project and modeling skills to represent information in graphical forms that enhance decision-making and communications
Ability to deliver on plans, complete next steps and resolve issues in a timely manner
Understanding of the related trade flows. Listed Derivatives or OTC Clearing experience is desirable but not required
2 years of experience in the financial industry and exposure to various Regulatory reporting obligations

IT Regulatory Reporting Analyst Resume Examples & Samples

5 or more years of related experience including data mart design, documentation, maintenance, upgrades and troubleshooting highly preferred
Experience in Oracle or MSSQL development is required. Appropriate industry certification preferred
Prior experience with electronic health record data in a complex clinical environment preferred
Understanding of or exposure to healthcare (clinical/financial) operations preferred
Prior experience with mandated external reporting requirements for healthcare facilities preferred

Senior Regulatory Reporting Analyst Resume Examples & Samples

The role serves as the primary contact to the external auditors and to key stakeholders. Key governance functions include production of management information, escalation of key issues and stakeholder meeting administration
Coordination is required across multiple regions, multiple business lines and across a very distributed operating model
Lead the execution of the annual CASS Audit to ensure a well-controlled and timely submission process
Keep up-to-date with development and changes to the CASS regulations (FCA and FRC) and their application to any aspects related to the scope of the annual audit
Develop more formal planning and preparation in advance of the commencement of each year’s audit
Ensure appropriate management information, issues tracking and escalation and governance meetings and reporting is in place
As appropriate, provide challenge to audit observations and to the internal remedial actions planned and taken
Ensure all issues identified in the audit are monitored and reported through to closure, with appropriate governance oversight
Participate in regional and group wide initiatives undertaken in support of regulatory compliance and newly introduced regulatory change
Lead other regulatory change initiatives requiring change within the Client Asset Control Group
Carry out other ad-hoc tasks and regulatory project change implementations as directed by CACG Management
Contribute to effective governance related to UK Regulatory requirements. Play an active role in CASS sub committees and as required in the CASS Operational Oversight Committee
Provide challenge to the businesses and operational areas related to issues identification and remediation
Via the CASS audit, facilitate and encourage informed and constructive debate on key issues
Ensure relevant management information is provided to key stakeholders in an accurate, timely and clear form
Help to ensure that a strong governance culture is embedded, particularly around areas with CASS Audit impact
Build a good understanding of the EMEA governance framework, including escalation requirements, and ensure there is clear, appropriate responsibility assigned to ensure a proper audit is executed
Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon
Alert management including the Chief Risk Officer and / or the EMEA Chief Risk Officer immediately of any significant changes to business risks and internal control effectiveness
Notify management and/or the Chief Compliance and Ethics Officer and Head of International Compliance immediately on discovery of any material regulatory breach
Comply with all Security and Health & Safety policies and procedures operating within the business
“Outperformance” – evidences the ability to exceed expectations of others
Building Organisational Talent - Attracting, developing and retaining talented individuals. Providing timely coaching, guidance and feedback to help others maximize their potential and meet key accountabilities. Using appropriate methods and interpersonal styles to develop, motivate and guide a team toward successful outcomes and attainment of business objectives
Change Leadership - Continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organizational problems and opportunities
Client Orientation - Cultivating strategic client relationships and ensuring that the client perspective is the driving force behind all value-added business activities
Driving Execution - Translating strategy into operational reality. Breaking down strategic priorities or business initiatives into key tasks and identifying accountabilities. Aligning communication, people, culture, processes, resources and systems to ensure effective implementation and delivery of required results
A proven track record in control and oversight functions. comprehensive experience in the financial industry, preferably in a Compliance, Audit or Regulatory Oversight role. Strong Project Management skills Strong operational experience in assigned business and operational areas. Working knowledge of Regulatory Frameworks

Regulatory Reporting Analyst, AVP Resume Examples & Samples

Work with internal teams to obtain an in-depth understanding of the CER- FFIEC 009, FSB and FR 2436 Regulatory reporting requirements. Develop content knowledge understanding of these regulations to perform variance analysis during the reporting cycle
Perform Root Cause Analysis and analyze large volume of financial data related to cross-border exposure and derivative exposures
Plan, direct and coordinate activities for CER, FSB and FR 2436 USRRI project to ensure that goals and objectives of those projects are accomplished within prescribed timeframes and budget
Perform analysis of gaps between FR Y9C anchor and FSB template line items. Collaborate with stakeholders to identify solutions for data gaps
Create and develop documentations, metrics, KPI and project plan to track project milestones, UAT progress, defects opened in ALM and all other USRRI deliverables
Bachelor's degree and 5+ years of related work experience
Excellent analytical background and skill set to understand Accounting, Financial and Risk, including system data flows
Previous Exposure to Accounting, Banking, Regulatory Reporting is a plus
Knowledge of Country Exposure Report- FFIEC 009, FR-2436 and FSB report is highly desirable. Prior experience at Citi is optimal
Strong knowledge of financial products, (especially securities, debt, repo, reverse repo, deposits, derivatives) would be beneficial
A collaborative style, with a demonstrated ability to work across regions and time zones and ability to ability to influence and engage partners
Demonstrated ability to deal with ambiguity and to interface with internal and external resources to define requirements
Willingness to pitch-in with other team members. Entrepreneurial spirit and the ability to objectively evaluate established business processes, policies and programs
High Proficiency in Microsoft Excel and Access required

Regulatory Reporting Analyst Resume Examples & Samples

Work with Finance and Risk partners to identify, prioritize and implement initiatives to optimize and improve organization’s overall risk weighted assets. This will require an understanding of finance and accounting, as well as key product dynamics including the impact of collateral, risk ratings and other drivers for Basel's RWA calculation
Advanced Microsoft Excel Skills; Basic understanding of SQL preferred
Exposure to Citi proprietary Finance and Risk reporting data flows and franchise systems (FRS, Pearl, Optima, Genesis) is highly preferred

SAS Regulatory Reporting Analyst Resume Examples & Samples

Bachelor's degree in Finance, Accounting, Economics or equivalent experience required
5+ years Finance or Credit Risk experience required
SAS skills required
Advanced Microsoft Excel Skills required; VBA/ SQL a plus
Must possess superior reconciliation and data quality analytics background and skill sets to perform reconciliation and data quality analytics
Demonstrated experience in data tracing desired
Consumer banking products experience or exposure a plus but not required
Previous exposure to Regulatory reporting a plus
Strong interpersonal/communication skills (oral and written) and confidence to work with multiple business partners and all levels of management
Possess strong team-player orientation
Experience working with a variety of risk or financial platforms, previous experience with Citi systems desirable but not required
Ability to work under pressure and deliver against tight deadlines
Must be a proactive and goal-oriented strategic thinker

Regulatory Reporting Analyst Resume Examples & Samples

Prepare complete and accurate regulatory reports in a timely manner e.g. SEBI report, Korea aggregation unit report, China QFII report etc
Assist in various ad-hoc request from compliance and regulators when necessary
Maintain and keep the procedures manual updates
Interact with various internal stakeholder including traders, business manager, compliance, legal, KYC team, sales, Trade Capture Utility team and middle office team mates
Liaise regularly with external counterparties (e.g. brokers, custodian banks, Report submission agent) appropriately in order to drive to a better relationship
Contribute to continuous improvement of processes and practices in the team
Partner with legal, compliance and business to understand changes on business products or regulatory requirement and to establish and implement appropriate new reporting processes and controls

Bank Regulatory Reporting Analyst Resume Examples & Samples

Manages supervisory examinations relating to regulatory matters
Analyzes new products and specific transactions for financial regulatory reporting adherence
Assist in the preparation of the US Branch of BBPLC, IHC, and US non-Bank subsidiaries of BBPLC (FR Y-9C, FFIEC 009, FR Y-11, FR 2314, FFIEC 002, FR 2644, FR 2900, FR Y-7N, FR Y-7, FR Y-10, FFIEC 019) to the Federal Reserve Bank
Development of a data quality process and monitoring framework
Bachelor of Science/Business Administration degree in Economics, Finance or Accounting
1+ Years experience working in Banking/Finance industry

Senior Regulatory Reporting Analyst Resume Examples & Samples

Partnering across Finance and other business lines across TIAA to facilitate the auditor independence function
Liasing with external audit firms to coordinate the necessary reporting and governance of auditor independence
Collaborating with peers of the department to support regulatory reporting needs as identified
Recommending enhancements to processes, analysis, reporting and systems

Regulatory Reporting Analyst Resume Examples & Samples

Networks with colleagues and senior personnel on a regular basis, in own area of expertise, to resolve issues, gain needed information and influence outcomes for group
Participates on functional and business unit project teams
Gains cooperation and commitment to take action from colleagues, management, customers and external contacts as needed
Contributes to decisions and projects that have a moderate impact to the organization
2-5 years of experience in public accounting or corporate accounting in an STAT and SEC reporting role
Fluency with basic Excel functions
Knowledge and understanding of the general ledger close process and financial reporting
Knowledge and understanding of Statutory Accounting Principles, General Accepted Accounting Principles, NY State Insurance Department and NAIC regulations
Excellent research, analytical, interpersonal, communication and organizational skills
Certified Public Accountant (CPA) preferred

Regulatory Reporting Analyst Resume Examples & Samples

Networks with colleagues and senior personnel on a regular basis, in own area of expertise, to resolve issues, gain needed information and influence outcomes for group
Participates on functional and business unit project teams
Gains cooperation and commitment to take action from colleagues, management, customers and external contacts as needed
Contributes to decisions and projects that have a moderate impact to the organization

Senior Regulatory Reporting Analyst Resume Examples & Samples

Partnering across Finance and other business lines across TIAA to facilitate the auditor independence function
Liasing with external audit firms to coordinate the necessary reporting and governance of auditor independence
Collaborating with peers of the department to support regulatory reporting needs as identified
Recommending enhancements to processes, analysis, reporting and systems

Consumer Banking Regulatory Reporting Analyst Resume Examples & Samples

Monitor regulatory rules and FAQs for changes to reporting requirements. Track implementation of changes
Using consumer loan and underwriting systems, investigate and research consumer loan data attribute issues. Provide details of research on loan data exception reporting items for the CCAR filings and communicate to internal and regulatory audiences
Bachelor's degree (preferably in a quantitative or business related field)
1 - 3 years of experience in the financial services industry, preferably in Consumer Lending. Experience may be in a servicing, operations, or finance capacity, but must include work with, and a strong understanding of, consumer loan systems
Knowledge of SAS or SQL
Compliance/auditing experience
Proficiency in Excel (i.e. vlookup, pivot tables, etc.)
Knowledge of systems such as MSP, Hogan, ACAPS, and UNIFI preferred
Ability to multi-task effectively, be a self-starter, and be able to handle stress with composure and professionalism
Strong written and verbal communication skills with the ability to interface and proactively engage with different levels of management
Ability to proactively manage issues and assignments, and move work forward with limited direction
Capable of managing changing priorities with ease and poise and with an understanding of priorities
Some weekend and late evening work required

GFS Regulatory Reporting Analyst Resume Examples & Samples

Good analytical skills with regard to figures and complex financial topics
Good knowledge of financial reporting requirements (IFRS9, US GAAP, and
DNB/ECB, LCR, FINREP etc)
Adequate bookkeeping skills
Knowledge of Commercial Banking products and processes
Control minded
Good verbal and written communication skills in English
Good knowledge of MS Office Excel (incl. working with large data), Access, Word
Experience with working in large data processing organisations
Result driven team player
Hands-on mentality with a pro-active attitude
At least HBO level and willing to develop yourself further regarding the content and regarding your competences

Corporate & Regulatory Reporting Analyst Resume Examples & Samples

Manage the delivery of identified priority units which have been highlighted by the business as key deliverables
Produce reconciliations between current Regulatory reports (QMemo, Cash Flow, FR2436, CER and others) and RRAI reports
Escalate issues to the appropriate parties identified during the reconciliation process and follow up it to ensure completeness
Prepare decks that summarize the status for both regions LATAM and NAM
Collaborate with Finance, Technology and other Financial Risk Operations teams in the implementation of Best-In-Class systems
Work close with the BAU team on the transition of the process
Identify and highlight to manager possible show stoppers to move to the RRAI
CPA / Financial Administration or related fields formation
3-5 years’ experience in a Financial Reporting / Financial Support areas / accounting
At 4 years at Citi
Basic PMO skills
Fluency in English, Spanish and Portuguese is a plus
Good knowledge of USGAAP policies and US Regulatory is a plus
Good PC Skills (Excel and MS Office, databases, financial reporting systems - Access is a plus)
Good at using spreadsheets and databases to analyze information
Able to multitask and comfort with manipulating data

Regulatory Reporting Analyst Resume Examples & Samples

Calculate and analyse UBS holdings in APAC issuers
Assess the obligation to disclose UBS’s significant shareholdings and ensure the accuracy, completeness and timely submission of the disclosures
Handle statutory reporting requests from issuers and/or agents
Assist in conflict clearance, manage foreign ownerships limits/give trade approvals to traders and investment managers
Provide legal advice to business with regards to complex transactions impacting UBS’s disclosure obligation
Keep abreast with changes to local regulatory reporting requirements in order to ensure compliance in each jurisdictions
Escalate issues or red flags identified, which may result in late or incorrect regulatory submission to senior management and drive resolution as well as regulatory risk remediation
Establish and maintain good relationships with Regulators, Exchanges, other areas within the Bank and GSP colleagues based in other jurisdictions
Participate in system enhancement projects and support process improvement projects

Specialized Services Regulatory Reporting Analyst Resume Examples & Samples

Cross train and backup assigned functions within the process
Escalate issues to management/risk as necessary
Participate in tactical and strategic initiatives related to assigned Regulatory Reporting Requirements

Regulatory Reporting Analyst Resume Examples & Samples

Accurately and timely completes assigned portions of periodic bank and holding company regulatory reports including: the quarterly bank Call Report and periodic FRB reports including the FRY-9C, FRY-9LP, FRY-8, FRY-6, FR2900 and FR2644 reports
Coordinates with other departments to obtain required information to complete assigned portions of bank and holding company regulatory reports
Assists, as needed, in month-end closing activities
Prepares and maintains accurate and complete documentation to support schedules prepared in prescribed format
Reconciles schedules prepared to the general ledger and financial statements to ensure consistency with other financial and operational reports produced for internal and external reporting purposes
A four year degree in accounting (Masters in Accounting or CPA preferred) and five plus years of experience with a regional community bank or equivalency
Excellent computer skills (Advanced Excel experience essential – e.g., vlookups, pivot tables, complex formulas)
A strong working knowledge of and practical experience applying bank accounting and regulatory standards
Ability to work well with all levels of the organization
Ability to work independently and manage multiple deadlines in a fast-paced environment

BD Regulatory Reporting Analyst Resume Examples & Samples

Experience with 15C3-1 and 15C3-3
Prior experience within financial services
Strong regulatory reporting knowledge
BD Experience

Regulatory Reporting Analyst Resume Examples & Samples

Strong interpersonal and team-working skills and the ability to communicate at all levels
Able to work in a pressurised, deadline driven environment, with the focus on delivery
A team player who is quickly able to grasp new concepts and apply existing technical knowledge in order to identify and resolve issues
A high level of commitment and enthusiasm

Regulatory Reporting Analyst, AVP Resume Examples & Samples

Coordinate with Risk Management across products and business units in performing end to end project delivery activities
Track and maintain change request documentation to ensure that all additional requirements are traceable
Develop test strategies, document test scenarios, and coordinate the execution of test scripts
Lead peer reviews and inspections of requirement documentation
Background in project management and experience defining and documenting business requirements is plus
Well organized and good attention to detail
Comfortable interacting and building consensus across functions and levels of seniority
Team player in both solid and matrix line reporting organizations

AVP Regulatory Reporting Analyst Resume Examples & Samples

The Regulatory Reporting team is primarily responsible for the production of external regulatory returns focusing on CoRep capital adequacy for Barclays Plc and the solo-consolidated group as well as other prudential returns
Other responsibilities include production of quantitative and qualitative analysis of key capital demand for external reporting to the market and disclosures to the regulator and for internal purposes
Working within the regulatory reporting team will require relationship management across Central Finance teams as well as key stakeholders within all clusters, CRIS, tax and Treasury teams
Consolidation, Reporting and Monitoring (60%)

CBS Legal Vehicle & Regulatory Reporting Analyst Resume Examples & Samples

Responsible for Quarterly processing and reconciliation of Balance Sheet and Income Statement accounts and other lines as needed to calculate and prepare the Q-Memo Report
Coordinate with various business and functional units to complete data gathering or any other detail needed by corporate
Address all the inconsistencies found in the validation data process
Answer baseline questions from internal customers, referring and participating in resolution of more complex issues discovered
Troubleshoot tools such as spreadsheets, data bases, and online portals when errors came out
Accomplish the existing tied deadlines and prioritize the workflow accordingly
Quarterly External Reporting Support Compliance for Controllers - analysis vs previous Period and quality explanations
Quality Checks Monthly variance from FRS
Bachelor’s Degree in Business Administration, Finance, Accounting or related field
Minimum 4 Years’ Experience working in Financial Institution or an accounting environment. Citi experience preferred
Proven knowledge and domain of key financial concepts such as income statements, balance sheet, cash flow, variations and trends
Well-developed communication skills, both oral and written
Ability to execute tasks in a high-pressure environment
Able to multi-task and work in a fast paced environment
Master’s Degree in Finance or related field
Knowledge of US GAAP policies
MS Access proficiency / Share Point knowledge

Regulatory Reporting Analyst Resume Examples & Samples

Working on the daily delivery of the regulatory and management reports
Assisting with the implementation/build out/procurement of new IT systems and applications
Preparing ad-hoc analyses and MI as needed
University degree in business, finance or accounting
Risk background with exposure to liquidity risk tools and processes
Solid product and accounting knowledge in investment banking and wealth management
Prior experience working with Treasury control and regulatory functions
Detailed knowledge of the regulatory frameworks such as Basel 3, LCR, NSFR, and 5G
A solid team player with the ability to partner from front to back
Flexible and comfortable in a changing environment
Solid control mindset and a proactive, hands-on working style in an evolving, dynamic environment
University degree in business, finance or accounting. Audit experience is a plus
Strong Excel skills. VBA and other programming languages knowledge is a plus

Corporate Market Risk Regulatory Reporting Analyst Resume Examples & Samples

Ensure processes are established to provide accurate risk reporting for the entity to support location governance and regulatory requirements
Provide a reasonableness review of market risk information contained in the regulatory reporting
Modify local reports to comply with changing regulations. Understand the regulatory requirements and coordinate with Technology the implementation of those requirements
Ensure any risk excesses are escalated and controlled according to local risk policies
Participate in the location Risk Committee meetings to cover changes in and understanding of risk profiles and any risk issues arising
Previous Market Risk Management related working experience
Strong product and market knowledge in relation to derivatives and related valuation/ risk management issues
Logical thinking, details driven and well ordered

Senior Regulatory Reporting Analyst Resume Examples & Samples

The Sr Accounting Analyst III - Reporting shall be responsible for performing advanced level reporting, and forecasting duties relative to the company’s Debt Portfolio
Creates and distributes monthly Securitization and related reports with timely and effective communication of results
Assists with the preparation of SEC filings including 10-Q, 10-K, 8-K and supporting schedules, drafting notes, discussions and other narratives as required
Maintains documented support for all 10Q & 10K disclosures
Reconciles general ledger data to various sub-ledger and treasury system data
Responsible for month-end closing activities – prepare journal entries, account reconciliations, etc
Identifies ways to promote efficiency within the financial reporting process to implement and/or incorporate best practices
Special projects as requested

100

Senior Regulatory Reporting Analyst Resume Examples & Samples

Your excellent verbal and written communication skills and the ability to present material to senior leaders as well as peers
You have the ability to work both independently and in a team environment
You have demonstrated the ability to proactively identify, analyze and solve problems
You are able to build and maintain professional relationships with various teams both external and internal to Fidelity

101

Regulatory Reporting Analyst, Associate Resume Examples & Samples

60% Preparation of assigned financial regulatory reports
Produce organized workpaper documentation and detailed standalone desktop procedures timely in accordance with regulatory reporting instructions and in compliance with documented internal controls, standards and procedures and Company policy
Conduct investigations of variance analysis and errors independently, escalate issues to management appropriately
Ensure adherence to the Regulatory Reporting departmental standards, policies and procedures
Recommend procedural changes / process improvement opportunities to streamline our process, and ensure the accuracy, completeness and timeliness of the reporting process
Develop a strong knowledge of Company’s systems and tools to utilize them effectively in report preparation
Research and analyze regulatory pronouncements, reporting requirements and other accounting documents. Present analysis and recommendations to management
Respond to internal/external inquiries regarding financial data reported or filed
Maintain strong collaborative working relationships with the Business Unit Controllers, other data providers and ISA (Information Technology Group) to ensure reporting requirements and processes are clearly understood while gaining an understanding of their products and business/system changes to inform our analytics
20% Lead in the development and implementation of regulatory/accounting/business or system changes
Prepare in-depth analysis of impact on regulatory reports due to regulatory/policy changes/new products
Clarify regulatory reporting requirements for our business unit and ITG data providers
Ensure regulatory reporting requirements are clearly communicated to the business units providing source data for the reports
Participate in automation projects to further streamline our reporting process
20% Other ad-hoc projects, as assigned

102

Regulatory Reporting Analyst, Associate Resume Examples & Samples

60% Preparation of Regulatory Reports - ensure the accurate and timely preparation and filing of various financial regulatory reports for the Bank and Holding Company in compliance with all legal and regulatory requirements, Company policies and procedures, and generally accepted accounting principles
20% Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions
20% Ad hoc projects and reporting, as requested
Strong, current understanding of banking regulatory reporting rules and regulations is desirable, but not essential
Ability to work effectively in a team environment to meet tight filing deadlines, maintaining neat, easy-to-follow workpapers with a clear audit trail
Excellent communication skills (both written and verbal) and interpersonal skills
Knowledge of banking and financial services industry preferred
Proficient in Microsoft suite of products - Excel, Word and PowerPoint
Accounting or finance degree is required, or equivalent work experience. Minimum 5 years related experience. Public accounting experience is strongly preferred

103

Bank Regulatory Reporting Analyst Resume Examples & Samples

1+ year of experience working in Banking/Finance industry
Regulatory reporting knowledge
Knowledge of AXIOM

104

Regulatory Reporting Analyst Resume Examples & Samples

Prepare detailed significant line item analytics of the TC Life legal entity Statutory Financial Statements on a quarterly basis for review by Senior Management – Corporate Controllers
Use technical skills and software skills to continuously improve reports used to develop analytical information – (i.e. – Peoplesoft nVision, BI Analytics, Financial Data Warehouse, and ESSBASE Smart-view Queries, etc.)
Maintain knowledge and familiarity with Statutory Accounting Principles to assist in analysis
Supports management in working to ensure compliance on all aspects of Statutory Regulatory Financial Reporting on a quarterly and annual basis with the NAIC, NYSDFS, Rating Agencies, various State Insurance Departments, and the Federal Reserve – Boston Office
Ensures compliance with SOX procedures, SOPs and written policies over all aspects of Statutory Financial Reporting with Internal and external Stakeholders
Prepares NAIC MD&A
Maintain key business partner relationships to assist in research of key variances in financial results
Assist with special projects as needed. Provide support in implementing changes to improve processes and procedures
Strong understanding of accounting, financial reporting and general ledger
Minimum of 3 years of public accounting or financial reporting role
3-5 years in public accounting or financial reporting role
Working knowledge of PeopleSoft, Oracle BI-Analytics, Wdesk
Knowledge of Statutory Accounting Principles is preferred
Masters in Accounting

105

Regulatory Reporting Analyst Resume Examples & Samples

Prepare detailed significant line item analytics of the TC Life legal entity Statutory Financial Statements on a quarterly basis for review by Senior Management – Corporate Controllers
Use technical skills and software skills to continuously improve reports used to develop analytical information – (i.e. – Peoplesoft nVision, BI Analytics, Financial Data Warehouse, and ESSBASE Smart-view Queries, etc.)
Maintain knowledge and familiarity with Statutory Accounting Principles to assist in analysis
Supports management in working to ensure compliance on all aspects of Statutory Regulatory Financial Reporting on a quarterly and annual basis with the NAIC, NYSDFS, Rating Agencies, various State Insurance Departments, and the Federal Reserve – Boston Office
Ensures compliance with SOX procedures, SOPs and written policies over all aspects of Statutory Financial Reporting with Internal and external Stakeholders
Prepares NAIC MD&A
Maintain key business partner relationships to assist in research of key variances in financial results
Assist with special projects as needed. Provide support in implementing changes to improve processes and procedures

106

Regulatory Reporting Analyst Vilnius Resume Examples & Samples

Independent responsibility for one or more regulatory reports
Data collection from different sources for the use in COREP, Finrep or MFI templates
Reconciliation, checks and validation of data input and/or reports based on controls defined
Comment on significant development before filing the reports
Analyze and prepare answers to FSA- or Central Bank-queries
Prepare data for ad hoc reports
Dynamically adapt or enhance controls to increase quality and efficiency
Support the creation of a cross validation framework on Danske Banks regulatory reporting e.g. COREP/FINREP/Asset Encumbrance
Remain aware of changes to business requirements, ensuring that any impacts are assessed and changes are addressed
Minor misc. controlling tasks

107

Regulatory Reporting Analyst Resume Examples & Samples

Review customers' key attributes, products, and transactions (Derivatives, Loans, Leases) to ensure accurate coding at source system and verify them against contract documents
Support analysis of the transaction scheme of loans and leases and identify the appropriate data coding
Review the key attributes of SMBC NY Branch and SMBC non-banking subsidiaries' customer information which has impact on regulatory reporting and assist to identify data information appropriateness
Perform quarterly verification process
Coordinate training efforts by assisting to prepare educational and training materials
Perform manual data adjustments into the regulatory reporting systems
Assist in preparation of various meetings
Perform tasks related to new regulatory reporting
2-5 years of banking experience
Hands on Regulatory Reporting experience, or Loan Operations experience
Familiarity with banking internal control concepts
Knowledge of derivatives products preferred
Degree in Accounting or Finance, or equivalent experience and training
Knowledge of financial products, i.e. loans, leases
Microsoft Office (Excel, Access, Word)
Willing to learn and positive attitude
Flexibility and adaptability to change

108

Regulatory Reporting Analyst Finance Resume Examples & Samples

Preparation of the local regulatory returns prescribed by local regulator for daily, weekly and monthly
Preparation of the surveys and other ad hoc request
Perform financial analysis on key variations
Participates in regulatory reporting-related projects and perform user acceptance test
Ensure proper documentation for audit trails and update of SOP for the returns prepared
University graduate in Accounting, Finance or other relevant disciplines
Minimum 3 years of accounting experience in Banking or Financial Institutions
Experience in HKMA regulatory reporting will be an advantage
Rigorous and organized

109

Senior Regulatory Reporting Analyst Resume Examples & Samples

Perform internal and external financial reporting. Internal reports include Board financials, management reports and other financial schedules including RI and RC
External reports include 10K/10Q, financial press releases, and other regulatory and investor-related reports
Communicate with internal and outside service representatives and personnel to resolve problems and discrepancies
Maintain current awareness of regulatory, industry, accounting standards and system changes to help identify and implement improvements to the internal and external reporting processes
Perform accounting research on current accounting and reporting rules to determine the applicability to and the impact on the Company’s financial statements
Prepare various special projects as requested

110

Regulatory Reporting Analyst, Associate Resume Examples & Samples

Produce organized work-paper documentation and detailed standalone desktop procedures timely in accordance with regulatory reporting instructions and in compliance with documented internal controls, standards and procedures and Company policy
Strong, current understanding of banking regulatory reporting rules and regulations
Capability and experience in working with reporting technology solutions
Demonstrate a high degree of accuracy in data analysis and report preparation
Solid ability to manage multiple priorities
Strong capability of working both collaboratively and independently to meet tight filing deadlines
Proficient in Microsoft suite of products – Word, Excel, and PowerPoint
Accounting or finance degree is required
CPA or Chartered Accountant is strongly preferred
Big 4 Public Accounting experience is strongly preferred, financial services auditing experience ideally
Minimum 7 years related experience, including a minimum of 3 years of experience preparing financial reports

111

Regulatory Reporting Analyst Resume Examples & Samples

You will work closely with the CFO Change team and IT in the testing any improvements / releases associated with the IHC reports
You will have the chance to do user Acceptance Testing (UAT) of the improvements / changes to the IHC reports
A role where you will participate in the review sessions associated with the IHC reports
You will be assisting in the improvement of the report review process
You will be responsible for the production of the IHC reports, including analysis and commentary
You will development, management and facilitation of the reporting controls
You will be responsible for maintenance / improvement of "Level 3", Data Provider (i.e., specific report level) training
You will become a SME in the IHC reports
You will have the opportunity to support the liaison role with the regulator (FRBNY) on all report related matters

112

Regulatory Reporting Analyst Resume Examples & Samples

Manage the company-wide capital stress testing production process for CCAR
As the owner of the Federal Reserve-mandated Comprehensive Capital Analysis & Review (CCAR), this team partners with lines of business and Finance and Risk management functions across the company to prepare MUAH's Capital Plan and the suite of documentation that supports the Capital Plan. (Position offers good visibility into Balance Sheet, Income Statement and Capital Management initiatives as well as the unique opportunity to understand the initiatives from a central perspective.)
The team has significant visibility to senior management as its work product is regularly used in discussions with management-level governance committees; Board-level governance committees; the Board of Directors; and supervisory authorities
Develop an understanding of MUAH's regulatory CCAR requirements and processes. Contribute to the development of methodology narratives related to Pre-Provision Net Revenue (balance sheet and related net interest income; noninterest revenue; and noninterest expense)
Partner with stakeholders to develop commentary supporting MUAH's balance sheet and income statement strategy in various stress scenarios, including: analysis of historical trends, tolerance levels and variances across submission cycles
Understand forecasting processes, key assumptions, and model inputs/outputs
Translate technical understanding and knowledge to plain-language narratives
Support initiatives to continually improve and enhance the CCAR production process, including the build-out and automation of CCAR Reporting tools
4 or more years of experience with a minimum of 2 years of banking experience in the preparation of regulatory reports

113

Liquidity Regulatory Reporting Analyst Resume Examples & Samples

The Liquidity Regulatory Reporting Analyst is responsible for executing financial reporting requirements for the 2052a and ensuring that the report is completed with the requisite processes and controls
This individual will work as part of a team of analysts in the coordination, consolidation and filing of the report
Partner closely with other business areas in the completion of this report including, Treasury, Risk, Controllers, Technology, and Business line management across multiple entities as part the reporting process
Support the Liquidity Regulatory Reporting Director in the Director’s relationships with the appropriate regulators as well as lead agency exams and interactions as they relate to the 2052a filings
Provide analytical support as it relates to the data collection and submissions
Work closely with our business and technology partners to build and improve existing processes
Participate in the project team that will substantially enhance the end to end reporting process over the next year
Provide supporting materials for the team’s regular updates to senior leadership and work cross-functionally on a high-profile regulatory disclosure
Finance or accounting degree with 3-5 years related experience, including a minimum of 2 years in the financial services industry
Public accounting (Big 4) or consulting experience is a plus
Experience developing Liquidity reporting infrastructure or managing Liquidity and/or Advanced Approach Basel III calculation/reporting function for a major financial services company
Prior experience with other complex disclosures such as the 14 M/Q/A is also desirable
Must have an interest in and basic knowledge of the Liquidity framework and Basel III Liquidity related rules. You will also have a solid understanding of regulatory changes and developments as they relate to the FR 2052a. Have a clear understanding of other Bank Regulatory Reports, Financial Statements and understand the overlap in requirements between reports
Experience with reconciliation processes and methodologies
A solid knowledge of core banking products and their related cash flow behavior; as well as instrument level data collection and analysis processes
Solid technical understanding of data analysis including expert level experience with extracting, managing and analyzing large quantities of data from multiple sources utilizing analytic tools
Solid knowledge of accounting and balance sheet composition

114

Senior Device Safety & Regulatory Reporting Analyst Resume Examples & Samples

Serve as a leader and Subject Matter Expert (SME) for Device Safety Analysts; provide guidance and coaching to DSRR Analysts
Ensure on-time, complete and accurate reporting of AEs (including malfunctions) to FDA and global regulatory agencies
Responsible for escalating any actual or potential late report submissions, and ensuring necessary investigations to root cause are initiated
Assisting with daily complaint review for reportability, and managing complaints involving deaths or serious injuries, or other complex complaints needed
Manage or assist with new employee training, as needed
Serve as operations team leader in the absence of DSRR Manager, Sr. Manager, or Director
Provide internal and External Audit support – may lead back room and audit prep activities
Lead department projects as appropriate
Manage internal DSRR file audits
Compile and distribute DSRR metrics
At least 5 years’ experience in the Medical Device Manufacturing Industry
2+ years healthcare experience in a critical care (ex. ICU,CCU,NICU,ER/ED) clinical setting
Master’s degree in scientific or technology discipline, or engineering
Lean/ Six Sigma Experience and/or Certification
Advanced Cardiac Life Support/Pediatric Advance Life Support Certification
Expertise of medical devices regulations
Ability to analyze, prioritize, delegate and meet critical deadlines
Ability to present and communicate effectively to all levels of the organization
Experience using word processing, Excel, PowerPoint, WebEx, TCons, TrackWise

115

Regulatory Reporting Analyst Resume Examples & Samples

Perform daily/monthly/quarterly reconciliation for consolidated general ledger
Prepare Oracle journal entries and generate all necessary Oracle reports
Assist with quarterly reconciliation on inter-company transactions for all U.S. subsidiaries and branches
Assist with calculating total combined US operations figure and compile all necessary work papers
Work closely with the subsidiaries' accounting groups for issues
Assist with various projects related to BHC's establishment
3-4 years of experience in public accounting or financial institutions
Experience with Microsoft Office applications - Excel, Work and Visio
Experience with Oracle GL application
Ability to balance and prioritize critical responsibilities to meet all necessary deadlines
College degree in Accounting; or equivalent experience and training

116

Operations Regulatory Reporting Analyst Resume Examples & Samples

The operations regulatory reporting candidate will be responsible for responding to regulatory requests, in relation to EBS. The team will be responsible for interacting with various regulators and will be charged with ensuring that EBS requests are processed in a timely and accurate manner and that all requests are complete
The team will be responsible for self-assessments, governance and supervision over the end to end EBS process, with an emphasis on process improvement. The team will be responsible for interacting with different divisions of the firm, including other groups within operations, technology, compliance and the front-office
1-3 years in the financial industry
Level of understanding of trade lifecycle for Equities (including options) & Fixed Income Products
Ability to solve problems, work independently and challenge the status quo
Previous knowledge of EBS is a plus

117

Regulatory Reporting Analyst Resume Examples & Samples

Responsible for the identification, preparation and submission of regulatory ownership filings accurately and on a timely basis
Responsible for legal/regulatory research and analysis of shareholder disclosure obligations, regulated industries and limits within various jurisdictions
Proactively identifies, resolves and communicates compliance and regulatory reporting issues and ad-hoc holding disclosure requests
Assists in formulating and implementing procedures to ensure operational effectiveness
Establishes effective working relationships with other functional areas and data providers for timely receipt of information required for the completion of daily tasks

118

Cass-regulatory Reporting Analyst Resume Examples & Samples

Work closely with the operational teams, business lines and CASS Compliance to ensure the RP is kept to a high standard and enhanced as required in response to business model, operational or regulatory changes
Provide supporting control and management information and documentation any related issues and risks
Support identification, administration and monitoring resolution of all CASS related
Participate in the collation, quality assurance and production of the monthly CASS Management Information Pack for the CASS Operational Oversight Committee and CASS Governance Body
Establish strong working relationships with all areas that contribute to CASS RP and Breach administration process
Engage with other regional and functional regulatory and management reporting teams
Accounting or Business Graduate with several years of related work experience
Previous role related to resolution plan support, CASS Compliance or management information
Excellent PC skills including utilisation of advanced Excel functions as well as data analysis skills and Management Information production
Strong organisational skills and attention to detail

119

Regulatory Reporting Analyst Resume Examples & Samples

Discharge UBS's global shareholder reporting and disclosure obligations for regions Americas, EMEA and APAC [ex Japan] by performing below list of core activities
Analyse and calculate UBS holdings in listed stocks, perform daily position monitoring and disclosure submission in accordance with substantial shareholding reporting requirements in respective jurisdictions
Respond to statutory reporting requests from issuers/agents and prepare Federal Energy Regulatory Commission Reporting
Execute data quality assurance processes with the objective to reconcile the available information in the GSP system with reliable information providers / regulatory websites
Analyse large volume of data on day to day basis and maintain or update calculation formulas used in monitoring files as and when required and continuous revalidation, improvement and transparent documentation of all operational processes
Monitor Shared Inbox regularly and ensure all mails are actioned and followed up promptly in accordance with standard guidelines

120

Regulatory Reporting Analyst Vilnius Resume Examples & Samples

Independent responsibility for one or more regulatory reports (Finrep, MFI, SIFI, etc.)
Data collection, validation, reconciliation and finalizing parts or entire reports to the regulators
Financial data analytics on significant development prior to submission of reports
Respond to external (FSA, Central Bank) and internal queries regarding financial data reported
Prepare data for ad-hoc reports
Other controlling tasks

121

Regulatory Reporting Analyst / Manager Resume Examples & Samples

Bachelors degree in Accounting or Business
3+ years accounting experience in a corporate accounting environment
Big 4 CPA and public accounting foundation preferred
Oracle experience a plus
*Please e-mail resume with references and salary history directly to Sharon Kelso at sharon.kelso@roberthalf.com Sharon(dot)Kelso(at)roberthalf(dot)com. (Replace the (at) and (dot) with (@) and (.) respectively) If previously registered with Robert Half Finance, please contact your recruiter and refer to this Job Order#

122

QM Regulatory Reporting Analyst Resume Examples & Samples

Support the Lead Analyst in managing all aspects of HEDIS-QARR regulatory requirements and the relationship with auditors and
Superior working knowledge of MS Office applications
Solid analytical and logical skills paired with strong attention to detail
Knowledge of health care data systems and clinical coding required
Flexible and adaptable in a rapidly changing environment
Ability to work independently and make decisions
Bachelor’s Degree in any analytical field including Finance, Health Care Management or related field required. Masters Degree
Minimum three – five years analysis experience required. Managed care experience a plus
Advanced experience with relational database applications (MS Access, Cognos, and SAS) required
Knowledge of HEDIS & QARR reporting processes strongly preferred

123

Regulatory Reporting Analyst Resume Examples & Samples

Bachelor’s degree or equivalent work experience required
Minimum of 2 years’ experience in Data Analysis, Reporting, Claims, Managed Care or Healthcare environment with working knowledge of business computer programs, applications and systems, database structures and data files required
Basic understanding of claims processing/ clinical coding and business practices
Experience with Microsoft Access and Excel or other relational databases required
Familiar with Microsoft Office Products (e.g., Excel, Word, etc.)
Strong attention to detail as demonstrated in the accuracy and quality of the work produced

124

Regulatory Reporting Analyst VP Resume Examples & Samples

Serve as the primary liaison between the FR Y-14A production team and the Financial Data Solutions team
Manage team of Associates to drive key project deliverables to completion
Lead FR Y-14A production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Facilitate all necessary data rationalization efforts between the FR Y-14A production team and the Financial Data Solutions team
7-10 years of overall professional experience
Specialization in Regulatory Reporting in the banking industry required, specifically with the following

125

Associate, Regulatory Reporting Analyst Resume Examples & Samples

Serve as a liaison between the Regulatory Reporting Group production team and the Financial Data Solutions team
Support the Regulatory Reporting Group production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Assist with all necessary data rationalization efforts between the Regulatory Reporting Group production team and the Financial Data Solutions team
3-7 years of relevant professional experience
Specialization in Regulatory Reporting in the banking industry required

126

Regulatory Reporting Analyst Regulatory Reporting Group Resume Examples & Samples

Specialization in Regulatory Reporting in the banking industry required Sample List of key regulatory reports
Call Report (FFIEC 031) · FR Y-9C · FR 2502Q · FR 2644 · FR 2900 · FR Y-11/11S · FR Y-20 · FR Y-7N/7NS · FR Y-7Q · FR Y-8 · FR 2314 · FR 2420 · FR 2915Q · FR Y-12/12A · TIC Reporting
Advance Capital Reporting
FFIEC 009/009a
Superior quantitative capabilities and demonstrated analytical skills
Self-starter, team player with excellent organizational and time management skills who can work with minimal direct supervision
Bachelor’s degree in accounting/economics/finance or related field strongly preferred
MBA a plus

127

Regulatory Reporting Analyst VP Resume Examples & Samples

Serve as the primary liaison between the FR 2052a production team and the Financial Data Solutions team
Lead FR 2052a production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Facilitate all necessary data rationalization efforts between the FR 2052a production team and the Financial Data Solutions team
Specialization in Regulatory Reporting in the banking industry required, specifically with the FR 2052a report, liquidity coverage ratio (LCR) calculations, and/or liquidity management
Excellent communication skills and problem solving a must
Experience or expertise with data analysis and BI reporting
Strong collaborative, analytical, written and verbal communication skills
Well versed with MS Office suite of products

128

Regulatory Reporting Analyst VP Resume Examples & Samples

Serve as the primary liaison between the FR Y-14Q/M production team and the Financial Data Solutions team
Lead FR Y-14Q/M production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Facilitate all necessary data rationalization efforts between the FR Y-14Q/M production team and the Financial Data Solutions team
Specialization in Regulatory Reporting in the banking industry required

129

Associate, Regulatory Reporting Analyst Resume Examples & Samples

Serve as a liaison between the FR Y-14Q/M production team and the Financial Data Solutions team
Support the FR Y-14Q/M production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Assist with all necessary data rationalization efforts between the FR Y-14Q/M production team and the Financial Data Solutions team
3-7 years of overall professional experience

130

Associate, Regulatory Reporting Analyst Resume Examples & Samples

Serve as a liaison between the FR Y-14A production team and the Financial Data Solutions team
Support the FR Y-14A production team to document the business process model for the as-is current state report production process, in line with RRT program standards and templates
Assist with all necessary data rationalization efforts between the FR Y-14A production team and the Financial Data Solutions team
Specialization in Regulatory Reporting in the banking industry required, specifically with the following

131

SEC & Regulatory Reporting Analyst Resume Examples & Samples

Assist with preparing, compiling, and proofing the bank’s SEC filings, including 10-Qs, 10-Ks, and earnings releases, in an accurate and timely manner in compliance with U.S. GAAP, SEC and other regulations
Assist with preparing the bank’s regulatory Call Reports and ensure consistency with other financial statements
Project manage the quarterly ‘Request from Information’ from internal bank departments and ‘Prepared by Client’ listings requested by external auditors
Project manages the distribution of draft documents to the external stakeholders and to the Disclosure Committee and manages the SOX sub-certification process
Assist in the maintenance of XBRL detailed tags for the bank’s footnotes and financial statements. Assist in rolling forward the SEC filings and migrating between taxonomies and determining tags for new disclosures
Prepare the supporting workbook and related tie-out to the external auditors for the quarterly filings
If needed, assist in re-engineering existing processes to improve efficiencies and enhance controls in financial reporting
Contribute to the efficiency of the SEC and Regulatory Reporting Group by participating in cross training and sharing job responsibilities
Assist in complying with SOX disclosure and internal control requirements by developing, maintaining, and testing documentation and processes around reporting controls
Participate in bank’s business resumption planning, prepare test scripts and provide support in disaster recovery testing
Perform ad hoc projects as requested
Minimum of 3 to 5 years’ experience in accounting and of financial reporting required
Dedicated to meeting the expectations and requirements of reporting issues
Strong working knowledge of U.S. GAAP
Strong written and oral communication and ability to relate and communicate effectively across all levels of staff inside and outside the department
Hands-on, energetic, organized, team player with proven ability to adapt quickly in a changing environment and facilitate change, multitask effectively and work independently
Bachelors’ degree with a major in Accounting required, CPA preferred
Knowledge of reporting software, such as Workiva, desired
Proficient with Microsoft Excel and Word software applications required

132

Regulatory Reporting Analyst / Manager Resume Examples & Samples

Evaluates change to risk and controls
Develop and refine risk management dashboards
Perform due diligence to control risk for all areas of the bank

133

Regulatory Reporting Analyst Resume Examples & Samples

Analyse quantitative and qualitative data for submissions to relevant bodies to identify opportunities to generate commercial strengths, deliver on student centred outcomes and inform policy direction
Coordinate data collections, data extraction and data analysis from national and TAFE systems to support robust performance reporting and briefings for TAFE NSW
Extract and prepare data and collateral for VET FEE HELP and FEE HELP submissions and the preparation of briefings
Research VET reporting issues that guides TAFE NSW to respond to changes in State and Commonwealth vocational education policy
Collect, collate and prepare data from TAFE NSW Regions and business units for input into government initiatives and budget papers such as AVETMISS and for external data collection bodies
Explain how your skills align to the key accountabilities of the role detailing your experience liaising with multiple stakeholders

134

BD Regulatory Reporting Analyst Resume Examples & Samples

BD accounting experience
Knowledge of 15c3-1 and 15c3-3
Familiarity with SEA Rule 15c3-1, SEA Rule 15c3-3, and FINRA FOCUS reporting
Series 27 and/or 99 licensed

135

Corporate & Regulatory Reporting Analyst Resume Examples & Samples

Produce reconciliations between current Regulatory reports (QMemo, Cash Flow, FR2436, CER and others) and RRI reports
Identify and highlight to manager possible show stoppers to move to the RRI
Significant impact in terms of project size, geography, etc. by influencing decisions through advice, counsel and/or facilitating services to others in area of specialization
Work and performance of multiple teams in the area are directly affected by the performance of the individual
Be the point of contact of different regions
Actively attend to the global and other committees meetings as representative
RRI Lead (LATAM/NAM/MX) depute
Bachelor’s degree; minimum 5-10 years’ experience working in an accounting environment
PMO skills
Able to multi-task and work in a fast paced environment
Able to multitask, comfort with manipulating data and work in a fast paced environment
Requires good analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources
Applies in-depth disciplinary knowledge to contribute to the development of new techniques and the improvement of processes and work-flow for the area

136

Senior Regulatory Reporting Analyst Resume Examples & Samples

Prepare, analyze and file regulatory reports and schedules
Review, evaluate and implement process improvements, as appropriate
Assist in month end regulatory reporting post-closing process
Work with IT, Operations, and other departments on various firm-wide projects
Assist with the 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 and PeopleSoft systems
MS Excel - (VLOOKUP’s, pivot tables, macros, etc.)
Multi-tasking on various projects
Working on IT/Technology related projects
Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases
Researching broker/dealer regulatory issues
Lead meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes
Work independently, make non-routine decisions and solve complex accounting problems
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 information to all levels of management
Provide training to others
Bachelor’s Degree (B.A.) in Accounting or Finance and a minimum of six (6) years’ of industry accounting experience or four (4) years’ of public accounting experience in a broker/dealer regulatory reporting role

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