Regulatory Reporting Associate Resume Samples

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C DuBuque

Cortney

DuBuque

45284 Boehm Park

Los Angeles

+1 (555) 517 0565

45284 Boehm Park

Los Angeles

Phone

p +1 (555) 517 0565

Experience Experience

San Francisco, CA

Regulatory Reporting Associate

San Francisco, CA

Cassin-Hirthe

San Francisco, CA

Regulatory Reporting Associate

Assist on implementing risk weighted asset calculation engine and perform various testing during development
Work collaboratively with MIS, Data Management, and Financial Reporting to validate the data lineage and logic is accurate
Prepare quarterly FR Y 9C, FRY 11 and FFIEC009 reports and all other BHC reports, along with supporting work papers, variance analysis
Regulatory Reporting Quality Assurance department is responsible for various training programs in relation to regulatory reporting. Arrange the various training programs with different target audiences, and pursue higher quality of regulatory reporting as a result of those trainings
Development of Process Documentation
Maintain a working knowledge of enterprise data warehouses for the purposes to automating regulatory reports
Provide support for other regulatory reporting Teams FFIEC 009/009a, TIC BC, BL & S Series, FR14M, FRY14Q. FRY14A & FRY15

Detroit, MI

Local Regulatory Reporting Associate

Detroit, MI

Kuphal Inc

Detroit, MI

Local Regulatory Reporting Associate

Be expert within J GAAP reporting, providing support and advice to Head of Reporting and CFO
Manage and control general ledger
Look to improve accuracy and efficiency of accounting process
Prepare local regulatory reports
Knowledge of J GAAP reporting
Participate in tax related discussions and support preparation of tax returns
Coordinate with auditors

present

New York, NY

CIB F&bm-regulatory Reporting Associate

New York, NY

Satterfield, Upton and Ebert

present

New York, NY

CIB F&bm-regulatory Reporting Associate

present

Resolving and responding to ad hoc requests from regulators, management and other groups in a timely manner
Resolution of data quality issues and improve and automate existing processes
Develop new accounting and reporting processes for consolidated reporting including branches
Consolidated IFRS monthly, quarterly and annual reporting covering the European activity of JPMB
Preparation of annual financial statements under Luxembourg GAAP including European branches
Liquidity reporting (LCR, NSFR, ALMM)
Coordinate and consolidate data feeds from various entities, including intercompany eliminations

Education Education

Bachelor’s Degree in Accounting

University of North Texas

Bachelor’s Degree in Accounting

Skills Skills

Strong attention to detail
Strong knowledge of financial products and complex investment company structures
Strong Excel computer skills and ability to work with large sets of data
Excellent verbal and written communication skills
Excellent written and oral communication skills
Ability to manage projects, be a team player, multitask, and appropriately prioritize work as necessary
Positive attitude and ability to work accurately under pressure
Proficiency in use of query software. Advanced SQL and PL/SQL desired. SAS and Python is
Knowledge of Advise Consensus RMS
Knowledge of Advent Geneva accounting system

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Cib-f&bm Regulatory Reporting Associate Frankfurt Resume Examples & Samples

Preparation and monitoring of regulatory ratios for the German banking entities
US Regulatory reporting to the headquarter in New York
Analysis and implementation of new regulatory requirements and participation in EMEA working group s to ensure smooth implementation
Advise the AG board and business on upcoming changes in the regulatory environment
Participation in infrastructure and new business projects

CIB F&BM Regulatory Reporting Associate Resume Examples & Samples

Prepare regulatory returns to HKMA and SFC for the Entities
Monitor ratios and limits requirement as stipulated by the regulators
Perform impact analysis for new regulations and implement changes to regulatory reporting processes
Assess and provide appropriate regulatory information and analysis to the SFO and relevant committees
Work with LOB Business Manages/ Controllers to assess the regulatory implications on new businesses and products
Ad hoc queries and projects as required
At least 5 years relevant post graduate professional experience
Experience with the SFC and HKMA regulations/reporting
Good knowledge of IFRS and US GAAP
Effective and confident communication with all levels of staff within Controllers and other internal departments
Attention to details
Able to work under pressure and multiple deliverables with competing deadlines; and

Local Regulatory Reporting Associate Resume Examples & Samples

Prepare local regulatory reports
Ensure all financial and regulatory reports are compliant with regulations
Look to improve accuracy and efficiency of accounting process
Be expert within J GAAP reporting, providing support and advice to Head of Reporting and CFO
Manage and control general ledger
Participate in tax related discussions and support preparation of tax returns
Coordinate with auditors
Knowledge of J GAAP reporting
Experience working in an international environment
Knowledge of local regulatory requirements and tax law
Fluent both in Japanese and English
Experience of working independently to produce local reports

Regulatory Reporting Associate Resume Examples & Samples

The role requires someone who has a good overall understanding of how an Investment Bank works (i.e roles and responsibilities of each function) and be able to tailor communication accordingly
Knowledge of DFA and EMIR Trade Reporting is an advantage
Minimum of three years in a control environment within an Investment Bank is an advantage
Strong control mindset is essential
Understanding of MiFID in relation to Trade and Transaction Reporting would be beneficial

Regulatory Reporting Associate Resume Examples & Samples

Preparation of US Federal Reserve regulatory reports - FRY9C, FRY9LP, FRY-11 & FRY11S
Develop reconciliation for various regulatory reporting schedules to insure accuracy and completeness
Develop due diligence and variance analysis
Support regulatory examinations and other functions such as internal or external audit
Monitor and implement on-going changes in regulatory reporting requirements
Development of Process Documentation
Interpretation of Intermediate Holding Company (IHC/BHC) Rules for on and off balance sheet exposures to insure correct regulatory reporting mappings
Act as resource for automation activities and assist in development of business requirements
Provide support for other regulatory reporting Teams FFIEC 009/009a, TIC BC, BL & S Series, FR14M, FRY14Q. FRY14A & FRY15
3 - 5 years in a similar role at financial institution in a capital markets environment
Knowledge of Federal Reserve Foreign Banking Organizations (FBO) Enhanced Prudential Supervision - Intermediate Holding Company (IHC/BHC) Regulatory Reporting Requirements
Knowledge regulatory reporting software systems implementation (i.e. AXIOM)
Strong oral & written communication skills

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

Preparation of the monthly, quarterly and biannual returns for JP Morgan Europe Limited (JPMEL), JPMorgan International Bank (JPMIB), JPMorgan Securities Ltd (JPMSL) and JPMorgan Chase Bank London (JPMCB)
Interpretation of the Regulatory rules which forms the basis of Bank of England and FSA reporting, and providing regulatory guidance to the business
Assist the team in preparation of the firm’s statistical reporting requirements to the Bank of England for the UK Bank regulated entities (JPMCB, JPMSplc, JPMEL, JPMIB)
Assist in the identification and completion of manual workarounds, where necessary, to ensure completeness and accuracy of outputs in the operating and processing model
Review monthly and quarterly variances, investigate trends and work effectively with the London team to obtain and document business commentary for management
Proactively challenge and provide constructive feedback to improve processes in the new Axiom operating model
Assist in the preparation of JPMSplc’s monthly and quarterly financial reporting requirements to the FSA (FSA001, FSA002, FSA015, FSA017)
Partner with the local Regulatory Project team on new releases and assist the London team with review of trade flows for new business initiatives
Able to work well in a team
Expertise in Microsoft Office – Excel (Pivot table and vlookup), Outlook, Word and Powerpoint
Reconciliation and general accounting knowledge
Knowledge of regulatory reporting would be advantageous but not essential
Degree qualification
Qualified/Part Qualified accountant

Regulatory Reporting Associate Resume Examples & Samples

6+ years of work experience
Strong knowledge of financial products and complex investment company structures
Ability to manage projects, be a team player, multitask, and appropriately prioritize work as necessary
Positive attitude and ability to work accurately under pressure
CFA Charter Holder or Candidate
Knowledge of Advise Consensus RMS
Knowledge of Advent Geneva accounting system
Regulatory reporting experience with an asset manager or administrator

Bank Regulatory Reporting Associate Resume Examples & Samples

1+ year of experience working in the Banking / Finance industry
Solid understanding of Regulatory Reporting
Previous experience with GAAP and General Ledger

Regulatory Reporting Associate Resume Examples & Samples

Bachelor's Degree in Accounting or Finance
3-8 years' industry experience
Strong Excel computer skills and ability to work with large sets of data
Knowledge of broker dealer and FCM regulatory rules and interpretations
Knowledge of broker dealer and FCM operations
Adaptable; able to formulate reporting requirements for new processes
Ability to solve problems and analyze
Able to meet time constraints
Ability to interact with staff at all levels
Ability to automate processes
CFTC Customer Protection formulas
Series 27 (or willing to complete within two years)
MBA or CPA

Regulatory Reporting Associate Resume Examples & Samples

Preparation of US Federal Reserve regulatory reports. Primarily focused on the FRY9C report. However, this position may require assisting with other regulatory reports such as; FRY9LP, FRY-11, FRY15, FFIEC 009
Awareness of US Basel III Standardized Capital and RWA calculations
Development of Process Documentation – Policies and procedures
Interpretation and understanding of Bank / Intermediate Holding Company (BHC/IHC) Rules for on and off balance sheet exposures to insure correct regulatory reporting mappings
Act as resource for automation and UAT activities, primarily with Axiom application and assist in development of business requirements
5 - 10 years in a similar role at financial institution in a capital markets environment
Strong knowledge of Federal Reserve Foreign Banking Organizations Enhanced Prudential Supervision - Intermediate Holding Company (IHC/BHC) Regulatory Reporting Requirements
Strong knowledge regulatory reporting software systems implementation (i.e. AXIOM)
Ability to develop & manage relationships with regulators

Regulatory Reporting Associate Resume Examples & Samples

Monitor and maintenance of daily liquid funding required by regulators and group
Prepare HKMA and MAS returns for the branches
Perform analysis and reconciliation over the regulatory reporting data
Perform ad hoc tasks per request from the regulators
Review and update the regulatory reporting requirements and existing reporting process on a periodical basis
Liaise with internal parties, like Technology, Operation, Compliance, Risk and Sales office, in order to obtain the regulatory reporting data
Interpret the regulatory reporting requirements independently
Prepare Local Census Surveys

Regulatory Reporting Associate Resume Examples & Samples

Understanding of and strong working knowledge of US / Federal Reserve regulatory capital reporting requirements. Specifically Risk-weighted asset (RWA) calculations using Basel III Standardized Approach
Preparation and reporting of Capital and RWA on Schedule HC-R of the FRY9C Report
Present analytics to senior management that can highlight the due diligence behind capital computations, variance analysis and other meaningful metrics
Awareness of Market Risk calculations

Regulatory Reporting Associate Resume Examples & Samples

Preparation of US Federal Reserve regulatory reports – FFIEC009/009a, FRY9LP, FRY15 and TIC Series reporting
Provide support for other regulatory reporting Teams FRY9C, FRY11/11S, FRY14M, FRY14Q, FRY14A
5 - 8 years in a similar role at financial institution in a capital markets environment

Regulatory Reporting Associate Resume Examples & Samples

5+ years of Regulatory Reporting experience
Financial Services background
Experience with Volcker Reporting

CIB F&BM Legal Entity Control Regulatory Reporting Associate Resume Examples & Samples

Knowledge of SEC Rule 15c3-1 & 15c3-3
General product knowledge
Excellent communication and relationship building skills
Experience dealing with regulators (FINRA,SEC,CME,etc.)

Regulatory Reporting Associate Resume Examples & Samples

Act as a subject matter expert for different regulatory reports
Knowledge of credit risk in relation to Basel RWA
Maintain a working knowledge of enterprise data warehouses for the purposes to automating regulatory reports
An adequate understanding of SR 15-19 requirements for Large Non-Complex Banks
Ability to interpret business and technical instructions into SQL
Produces reconciliations of informational data between source systems and financial reports
Develops more efficient and effective processes in support of various bank departments to improve understanding and usefulness of information
Maintains integrity of informational processes, from documentation of procedures to organization of multiple informational projects
Definition of business checks and quality rules
Conducts independent research and analysis and special projects in support of informational initiatives
Work collaboratively with MIS, Data Management, and Financial Reporting to validate the data lineage and logic is accurate
Understands initiatives and supports best practice of Data Management group
Interacts with technical teams to identify issues, define requirements and validate results of informational projects/processes
Works with Lines of Business to interpret regulatory instructions and record any data quality issues throughout the data lifecycle
Interacts directly with management level personnel in other areas of the bank as necessary to complete assigned projects
Experience with US Regulatory Reporting including FR Y9C, FR Y-14 M/Q, FR 2052a, FFIEC 009, CCAR, Basel
Proficiency in use of query software. Advanced SQL and PL/SQL desired. SAS and Python is a plus
Experience with Regulatory Reporting software including Axiom, Wolters Kluwers, or other vendors associated with SR 15-18 or SR 15-19 banks
Interpersonal skills necessary to interact effectively with all levels of bank management

Fixed Income Regulatory Reporting Associate Resume Examples & Samples

While the role is within a team, there will be a lot of self motivation and working without direct supervision. There will be occasions when the role holder will need to run meetings and give out action points to people in the meetings
Knowledge of IIROC Debt Reporting is an advantage
Knowledge of the Fixed Income Business, particularly the products & operation flows
At least four years of business experience in Investment Banking Operations, preferably working within the derivatives business
Proactive self-starting individual
Flexibility and ability to learn quickly
Strong analytical skills is essential
Strong control mind-set is essential
Ability to give presentations would be a benefit
Project management experience and/or six sigma qualification useful
Technical / IT understanding of how systems deliver regulatory reports is desirable

AWM Quality Assurance Over External Regulatory Reporting Associate Resume Examples & Samples

Sarbanes-Oxley (SOX) Compliance Program
7-9 years experience in Auditing, Accounting, Internal Control and/or Finance
Strong background in and/or familiarity with the Financial Services Industry
Works well individually and in teams, shares information, supports colleagues and encourages participation
Ability to multi task, complete projects on time, and be able to adapt to changing priorities
Working knowledge of Microsoft Office applications; and

Regulatory Reporting Associate Resume Examples & Samples

Perform daily/monthly/quarterly reconciliation for consolidated general ledger
Prepare Oracle journal entries and generate all necessary Oracle reports
Perform consolidation process on monthly and quarterly basis
Prepare financial statements and footnotes for consolidated general ledger
Familiar with Basel III and assist on risk weighted asset calculation
Assist on implementing risk weighted asset calculation engine and perform various testing during development
Bachelor’s degree in Accounting; or equivalent experience and training
4-5 years of experience in public accounting or financial institutions
Experience with Microsoft Office applications - Excel and Word
Experience with Oracle GL application
Ability to balance and prioritize critical responsibilities to meet all necessary deadlines
CPA is preferred

Regulatory Reporting Associate Resume Examples & Samples

Support various EPS regulatory reporting projects including SCCL “Single Counterparty Credit Limit” and other data quality initiatives on counterparty and transactions
Research and identify ultimate parent companies based on the criteria of SCCL regulations by using the third party vendor tools, and establish the corporate structure by communicating with account officers. Periodically review and maintain the corporate structure, and update the corporate structure if required
Support Regulatory Reporting Quality Assurance department head with daily work, such as reviewing various customer and transaction reviews. Track and monitor the review status, close pending items and ensure timeliness of review cycle performed by other team members
Regulatory Reporting Quality Assurance department has established various weekly, monthly, and quarterly customer and transaction reviews. Review the customer and transaction attributes using aforementioned various periodic reviews by pulling out the third party and internally created documents and ensure the customer and transaction subsystem data input is accurate. Review the other junior members’ work, keep track their review status, assess the review status and identify issues. Closely communicate with department head about the issues identified and seek resolutions in a timely fashion
Support Regulatory Reporting Quality Assurance department for various training programs, by arranging, preparing, monitoring, and completing
Regulatory Reporting Quality Assurance department is responsible for various training programs in relation to regulatory reporting. Arrange the various training programs with different target audiences, and pursue higher quality of regulatory reporting as a result of those trainings
Communicate with Tokyo headquarters on US regulatory reporting issues as well as other entities located in Japan
Required communication with Tokyo headquarters is not limited to US regulatory reporting matters, but any matters assisting the Controllers department requiring Japanese
Fluent in Japanese language, including speaking, reading, and writing
Exposure to and knowledge of financial products
Knowledge of various financial regulatory reporting requirements for FBO a plus but not mandatory
Strong communication skills, both Japanese and English
Ability to lead the meetings and discussions
Strong Excel skills with knowledge of various functions, as well as Word and Power Point
Experience as a credit analyst, or credit researcher at financial institutions a plus
3-5 years of Public Accounting experience
At least 2-3 years of experience in financial institutions

Bank Regulatory Reporting Associate Resume Examples & Samples

Accounting degree
5-10 years of total experience
3+ years of experience with bank regulatory reporting
Knowledge of regulatory rules

Regulatory Reporting Associate Resume Examples & Samples

Prepare BHC regulatory reports for the Federal Reserve Bank and US Department of Commerce
Collaborate with project members for BHC reporting
Collaborate with Lombard Risk for the implementation of the BHC reports
Prepare quarterly FR Y 9C, FRY 11 and FFIEC009 reports and all other BHC reports, along with supporting work papers, variance analysis
5-6 years' experience in public accounting or regulatory reporting in a financial institution
Experience in the preparation of and familiarity with financial regulatory reporting requirements (FR Y-9C, FR Y-11, TIC reports, etc.)
Bachelor’s Degree in Accounting/Finance is required; or equivalent experience and training
Experience on a BHC implementation project (i.e. attending meetings, creating an issue log, reviewing data attributes, performing reconciliation and validating reports in regulatory reporting application to ensure all the data is validated and reconciled to the general ledger)
Strong knowledge of US GAAP of financial products
Strong knowledge of various financial products (.i.e. derivatives, securities, loans and leases, etc.)
Knowledge of the Reg-Reporter regulatory reporting application is a plus
Knowledge of SQL is a big plus
CPA certified is highly preferred
Good MS Excel Skills
Ability to make tight deadlines for regulatory reports

Corporate Market Risk Regulatory Reporting Associate Resume Examples & Samples

Actively engage with location risk managers to remain current on risks, business activity, exposures, etc
Bachelor's degree or above in Financial Engineering/ Mathematics/ Statistic/ Finance
Strong knowledge on risk control processes
Familiar with Risk Management related banking regulations
A team player with excellent interpersonal skills
Proficient in MS office software

CIB F&bm-regulatory Reporting Associate Resume Examples & Samples

Consolidated IFRS monthly, quarterly and annual reporting covering the European activity of JPMB
FinRep, CoRep, Large Exposures, Leverage ratio
Liquidity reporting (LCR, NSFR, ALMM)
Coordinate and consolidate data feeds from various entities, including intercompany eliminations
Develop new accounting and reporting processes for consolidated reporting including branches
Coordinate and consolidate data feeds from various entities, including intercompany elimination
Resolving and responding to ad hoc requests from regulators, management and other groups in a timely manner
Resolution of data quality issues and improve and automate existing processes
Preparation of annual financial statements under Luxembourg GAAP including European branches
Ensuring appropriate controls and reconciliations are in place over all the reports generated
Support Finance projects (e.g. AnaCredit, IFRS 9&15, Basel IV)
Contribute to ICAAP, ILAAP, Recovery Plan, Long-Form Report and Pillar 3
Motivation & Ownership – take full responsibility for completing objectives
Attitude - enthusiastic, resilient and calm
Technical knowledge – act as subject matter expert in regulatory reporting and accounting
Risk management – identify and address potential risks, with appropriate escalation
Project management – progress / manage multiple priorities that can change with short notice
Communication – effectively communicate to peers, seniors, and auditors
Teamwork – develop productive working relationships with colleagues in all functions and locations
Qualified accountant/MBA/Masters in Finance
Excellent knowledge of IFRS accounting standards and Luxembourg regulatory reporting
6+ years of accounting / financial experience
Strong PC / systems skills