Regulatory Reporting Quality Assurance Resume Samples
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Regulatory Reporting Quality Assurance Resume Samples
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LK
L Koepp
Lorenza
Koepp
143 Daphney Mall
Philadelphia
PA
+1 (555) 127 2853
143 Daphney Mall
Philadelphia
PA
Phone
p
+1 (555) 127 2853
Experience
Experience
San Francisco, CA
Regulatory Reporting Quality Assurance
San Francisco, CA
Gulgowski-MacGyver
San Francisco, CA
Regulatory Reporting Quality Assurance
- Assessing the internal control environment by conducting walkthroughs and performing control and sample data testing
- Analyzing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues
- Validating transaction capture through regulatory reporting processes
- Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology, Credit Risk, and Market Risk
- Analyzing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as communicating and escalating observations
- Analyze and document testing results and assist the QAR Manager in developing recommended remediation steps
- Assist the Regulatory QAR Manager with developing a risk-based testing plan and program for US Regulatory Reports
Los Angeles, CA
Regulatory Reporting Quality Assurance Site Lead
Los Angeles, CA
Beahan-Padberg
Los Angeles, CA
Regulatory Reporting Quality Assurance Site Lead
- Review the end to end processes used to report U.S. Regulatory Reporting disclosures (CCAR/FR Y-14, FR Y-9C, Call Report, etc.) to assess the integrity and soundness
- Assign, manage, and review work of staff, evaluating their findings and judgment in applying regulatory principles to reporting
- Matrix report into the Global Quality Assurance Team Lead and be expected to participate on simultaneous reviews, identify issues and exceptions, develop remediation plans and communicate effectively to senior stakeholders
- Updating KPIs, metrics, and other presentations, identifying enhancement opportunities and implementing, and supporting manager in the messaging of results/value add to senior management
- Providing input on training programs and identify opportunities for improvement
- Participating in Internal Audit (IA) reviews. Supporting Global Manager in assessing and enhancing operational controls
- Facilitating ad hoc, special requests and project management
present
Los Angeles, CA
Regulatory Reporting Quality Assurance VP
Los Angeles, CA
Abernathy Inc
present
Los Angeles, CA
Regulatory Reporting Quality Assurance VP
present
- Cultivating relationships with senior key stakeholders across several departments
- Overseeing the Validation Test Plan and providing various governance committees with progress metrics
- Analyzing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues to senior management
- Drafting recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process
- Monitoring, tracking and reporting project progress to Senior Management
- Conducting walkthroughs, assessing the internal control environment by performing controls and substantive testing
- Validating transaction capture through regulatory reporting processes and assessing the internal control environment by conducting walkthroughs and performing control and sample data testing
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
University of California, Irvine
Bachelor’s Degree in Accounting
Skills
Skills
- Solid written, communication, and presentation skills, including the ability to liaise with and influence subject matter experts
- Ability to organize and present data in a meaningful way, including analysing and summarizing detailed information from various sources
- Strong written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts
- Ability to organize and present data in a meaningful way, including analyzing and summarizing detailed information from various sources
- Ability to manage detailed project plans
- Ability to create and manage detailed project plans including managing interdependencies
- Sense of ownership and accountability for work
- Ability to work within a team and to collaborate with peers and leadership to build effective solutions to validation issues
- Ability to work within a team and to collaborate with peers and leadership to create effective solutions to validation issues
- Strong written, communication, and presentation skills
3 Regulatory Reporting Quality Assurance resume templates
Read our complete resume writing guides
1
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Assist the Regulatory QAR Manager with developing a risk-based testing plan and program for US Regulatory Reports
- Schedule and actively participate in process walkthrough meetings with Report Owners and Data Providers to ensure that all key controls in the report preparation process have been appropriately identified to gain an understanding of the quality of the process and the scope of testing
- Review applicable report procedures, work papers, processes and controls documenting and escalating any identified issues/gaps
- Analyze and document testing results and assist the QAR Manager in developing recommended remediation steps
- Assist the QAR Manager in producing key metrics highlighting key testing outcomes that require remediation, and material findings that impact the completeness and accuracy of regulatory reporting
- Provide subject matter expertise in interpreting regulatory impact of issues (e.g., new business, system changes)
2
Regulatory Reporting Quality Assurance Senior Manager Resume Examples & Samples
- 4+ years of Public Accounting and/or Internal Auditing experience
- Bachelor's Degree in related field
- Prior experience in a line role or supporting a finance function - Sense of ownership and accountability for work
- Experience with analyzing information from various sources and decompose high level information into details
- Solid quantitative and qualitative analytical skills
3
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Analysing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as communicating and escalating observations
- Drafting recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process
- Prior experience in a line role or supporting a finance or reporting function
- Advanced Excel and PowerPoint skills
- Sense of ownership and accountability for work
4
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Strong written, communication, and presentation skills
- Ability to work within a team and to collaborate with peers
- Ability to manage detailed project plans
5
Regulatory Reporting Quality Assurance Validation Professional Resume Examples & Samples
- Conduct walkthroughs, assessing the internal control environment by performing controls and substantive testing
- Validate transaction capture through regulatory reporting processes and assessing the internal control environment by conducting walkthroughs and performing control and sample data testing
- Analyze identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues
- Cultivate relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology, Credit Risk, and Market Risk
- Draft recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process
- Monitor, track and report project progress to Senior Management
- Experienced with testing and proposing remediation plans
6
Regulatory Reporting Quality Assurance VP Resume Examples & Samples
- Overseeing the Validation Test Plan and providing various governance committees with progress metrics
- Analyzing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues to senior management
- Monitoring, tracking and reporting project progress to Senior Management
7
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Conducting walkthroughs, assessing the internal control environment by performing controls and substantive testing
- Analyzing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues
- Minimum 5+ years of experience
8
Regulatory Reporting Quality Assurance Specialist Resume Examples & Samples
- Perform completeness, accuracy and timeliness (CAT) testing across asset classes / jurisdictions
- Document investigations and findings from the above processes in a professional and concise manner
- Check that material issues and reputation concerns are escalated appropriately in accordance to the internal escalation policy
- Stay up-to-date on regulatory requirements and trends
9
Manager of Regulatory Reporting Quality Assurance Resume Examples & Samples
- Manage the Transaction Reporting Quality Assurance Team and ensure that SLAs between all locations and Kraków are adhered to
- Perform an internal-audit type of review on pre-defined controls that have direct and significant impact on transaction reporting
- Document investigations and findings from the above processes in a professional and concise manner, which will be included for review in the monthly governance meetings
10
Temp-regulatory Reporting Quality Assurance Resume Examples & Samples
- Research and identify ultimate parent companies based on the criteria of SCCL regulations by using the third party vendor tools, support other senior staff and work together to establish the corporate structure by communicating with account officers
- Periodically review and maintain the corporate structure, and update the corporate structure if required
- Credit Analyst experience preferred
11
Regulatory Reporting Quality Assurance IHC Manager Resume Examples & Samples
- Cultivating relationships with senior key stakeholders across several departments
- Planning and executing the IHC validation program and providing various governance committees with progress metrics
- Evaluating identified issues for their impact on regulatory reporting, as well as escalating these issues to senior management
- Review recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process
- Solid written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts
- 8+ years of experience
- LI-AH1*
12
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Executing the IHC validation program
- Identifying issues for their impact on regulatory reporting based on rules interpretation, transaction validation, and control assessment
- Ability to organize and present data in a meaningful way, including evaluating and summarizing detailed information from various sources
- Solid written, communication, and presentation skills, including the ability to liaise with and influence subject matter experts
- Solid qualitative analytical skills
- LI-AH1
- Understanding of IHC or Bank Holding Company (BHC) regulatory reporting
13
Regulatory Reporting Quality Assurance Associate Resume Examples & Samples
- Strong written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts
- Strong quantitative and qualitative analytical skills
- Understanding of the Basel Framework and/or regulatory reporting
- Preferably a qualified accountant
14
Regulatory Reporting Quality Assurance Senior Analyst Resume Examples & Samples
- 35% Performing independent validation of regulatory reporting data using a risk based approach, this entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings
- 15% Tracking the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption
- 15% Participating in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders
- 15% Maintaining a comprehensive regulatory reporting training program for all individuals impacting the regulatory reporting process, this entails the formation of an annual training program covering significant or complex regulatory filings, data accuracy, best practices, and trainings offered by external agencies, maintenance of training documentation, including formal training procedures, the annual training program, and a comprehensive annual training log, and creating content and conducting on-line and live training sessions
- 10% Updating process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings (i.e. FR Y-9C and FFIEC 101), Regulatory Reporting best practice standards document, and detailed quality assurance procedure documents
15
Regulatory Reporting Quality Assurance VP Resume Examples & Samples
- Validating transaction capture through regulatory reporting processes and assessing the internal control environment by conducting walkthroughs and performing control and sample data testing
- Analysing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as escalating these issues
- Leads the professional development of staff
- Proactive and recognized as a leadership role model, consulted often by others for advice and opinions
- Minimum 7+ years of experience
16
Regulatory Reporting Quality Assurance Lead Resume Examples & Samples
- Plan, perform, and report on quality assurance reviews of regulatory bank filings
- Assess identified issues for root cause and track remediation of these issues
- Present and report findings to senior and executive levels of management on a periodic basis
- Test internal systems for data quality
- Track process recommendations and ensure that they are being implemented
- Bachelor's degree required in accounting, business or business related field
- 5 - 7 years of experience in auditing, bank accounting/reporting experience or other regulatory-related experience
- CPA or CIA, with compliance/auditing experience preferred
- Experience should include work with, and a strong understanding of, bank reporting requirements
- Demonstrated ability to partner cross-functionally to deliver results
- Working knowledge of Microsoft products (e.g. Excel, Word, and PowerPoint) required
- Familiarity with Essbase a plus
- 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
- Some weekend and evening work required especially around quarter end deadlines
17
Temp-regulatory Reporting Quality Assurance Resume Examples & Samples
- Daily EPS SUN manual reconciliation
- Various EPS SUN related projects
- Regulatory Reporting QA support tasks
- Ad-Hoc Projects
- On a daily basis, receive SMBC subsidiaries' active customer lists. Based on the subsidiaries' active customer lists perform customer ID reconciliation to ensure all active customers are correctly assigned SMBC unique customer ID (SUN). Also investigate whether key customer attributes are correctly assigned in subsidiaries subsystem
- Communicate with subsidiaries and request the correct data input in their subsystem
- Summarize and report findings to the manager
- Track daily findings and confirm that attributes are fixed correctly
- Perform assigned tasks related to the EPS related CIF project execution
- Perform ad-hoc projects as assigned to assist Regulatory Reporting QA department
- Liaise with IT department and help smooth transition from manual to automated reconciliation
- Perform Excel related tasks to assist Regulatory Reporting QA department's daily work
- Interact with related internal parties to carry out assigned tasks/projects
18
Regulatory Reporting Quality Assurance Site Lead Resume Examples & Samples
- Providing input on training programs and identify opportunities for improvement
- Participating in Internal Audit (IA) reviews. Supporting Global Manager in assessing and enhancing operational controls
- Assign, manage, and review work of staff, evaluating their findings and judgment in applying regulatory principles to reporting
- CPA and/or Audit experience required
- 7+ years of Finance, Accounting, Risk or Product Control experience, preferably at large financial institution
- Strong knowledge of banking products and services, especially loans, deposits, securities and derivatives
- Strong understanding of current accounting principles, policies and financial institution regulatory reporting, particularly FR Y-14, FRY-9C, Call Report
- Exceptional analytical skills, combined with an ability to deliver analyses in a concise and logical manner including complex CCAR technical knowledge
- Experience in working in operations unit requiring coordination across multiple regions and business segments
- Must have strong communication skills (oral and written) to clearly articulate findings, defend point of view amongst various groups, and present to senior management
- Strong General Ledger Platforms, Product Processors, and Data Warehouses experience
- Ability to multi-task and manage to project plan, demonstrating independent leadership skills
19
Regulatory Reporting Quality Assurance Resume Examples & Samples
- Ability to multi-task, adapt, and work well with deadlines
- Ability to work within a team and to collaborate with peers and leadership to build effective solutions to validation issues
- Prior audit or banking experience
- Understanding of IHC or BHC regulatory reporting
20
Temp-regulatory Reporting Quality Assurance Resume Examples & Samples
- Research and identify ultimate parent companies based on the criteria of SCCL regulations by using the third party vendor tools
- Support other senior staff and collaborate to establish the corporate structure by communicating with account officers
- Experience as a credit analyst preferred
- Research skills
21
Regulatory Reporting Quality Assurance, VP Resume Examples & Samples
- Perform independent validation of regulatory reporting data using a risk based approach. This entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings
- Track the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption
- Participate in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders
- Assist with the maintenance of a comprehensive regulatory reporting training program
- Update process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings, Regulatory Reporting best practice standards
- B.A. / B.S. degree in Accounting or Finance. CPA and/or a Chartered Accountant is strongly preferred
- Previous public accounting experience including banking industry experience is highly desired
- 7 or more years of relevant experience in a position of increasing responsibility, including a minimum of 5 years of Banking/Financial Services experience
- Strong Accounting, Financial Reporting, or Internal Audit experience
- Knowledge of banking regulatory reporting rules and regulations, US GAAP, and Sarbanes Oxley
- Previous reporting experience should include: SEC, Financial Reporting, Regulatory Reporting, Basel and/or Broker/Dealer is critical
- Proficient in the use of MS Office: Excel, Word, PowerPoint and Access
- Excellent analytical skills focused on problem solving, strategic thinking, and data analysis
- Excellent verbal, written and presentation skill are essential
- Strong interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders and peers
