Regulatory Reporting Resume Samples

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R Flatley

Rashawn

Flatley

6073 Gutkowski Shore

Detroit

+1 (555) 452 1058

6073 Gutkowski Shore

Detroit

Phone

p +1 (555) 452 1058

Experience Experience

Philadelphia, PA

Regulatory Reporting

Philadelphia, PA

Kirlin, Stoltenberg and Davis

Philadelphia, PA

Regulatory Reporting

Identify process improvement opportunities and assist users in transition to new business processes
Improve upon the governance framework that supports the Regulatory Reporting and Control function
Assign, manage, and review work of staff, evaluating their findings and judgment in applying regulatory principles to reporting
Providing input and/or lead training programs and identify opportunities for improvement
Engaging with finance, risk, IT and operations to drive process improvement and change
Assist in preparation of annual financial statements
Lead and/or participate on other regulatory schedule/product reviews as determined by manager

Los Angeles, CA

Regulatory Reporting Controller

Los Angeles, CA

Morissette-McGlynn

Los Angeles, CA

Regulatory Reporting Controller

Reconciling data to underlying Management Accounts, working closely with the Legal Entity Controllers
Challenging processes and procedures in order to enhance controls and streamline efficiencies
Produce accurate financial accounts under JGAAP for a regulated broker-dealer and responsible for financial reporting to
Quarterly (and ad hoc) internal capital forecast scenarios for ICAAP (including pillar 2b calculation), Going Concern etc
Maintain relationships with key internal parties (Operations, Product Finance, Quality Assurance) in support of the legal entity and to improve the accuracy and quality of information for regulatory and financial reporting
Work to ensure that the firm is following the best practices for regulatory reporting
Support of internal capital planning through preparation of ad-hoc forecasting

present

New York, NY

Associate, Regulatory Reporting

New York, NY

Bergstrom-Abernathy

present

New York, NY

Associate, Regulatory Reporting

present

Identification and development of options to address issues relating to change and process improvement
Provide analysis & compliance related to the following reports
Adherence to the relevant control frameworks
Manage or contribute to mandatory and business change requests
Assist in regulatory reporting examinations by the Fed, internal audit and PWC
Production and Review of MI packs including business commentary for stakeholder sign-offs with particular emphasis on Trading Book RWAs including Market Risk, Securitization and Counterparty Credit Risk
Contribute in production of RWAs in accordance with Basel rules and the bank’s framework of RWAs

Education Education

Bachelor’s Degree in Accounting

North Carolina State University

Bachelor’s Degree in Accounting

Skills Skills

Business Reasonability checks (data generally at aggregated level)
IMR Process (to consistently inventory and address data quality anomalies)
Levels of granularity), including Cross Report Validations
Data Tracing (contract/account level)
Reconciliations (to ensure comprehensiveness of data in the ecosystem with data at varying
CDE Measurements (to inspect data field content at contract/account level)
FRB Submission Edit Checks and Feedback from the Agency (generally at aggregated level)
Re‐Statements of Regulatory Submissions (generally at aggregated level)
Late Submissions
Fines

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Avp-india SFO Team Regulatory Reporting Lead Resume Examples & Samples

Finance Lead on Regulatory reporting
Lead the automation project of Regulatory reporting
Finance Lead for Regulatory inspection and Risk based supervision
Capital adequacy as per Basel III
Review of new product launch from accounting, control and regulatory view point
Preparation of Annual accounts in accordance with the Banking Regulation Act in India
Ensure timely completion of Statutory audit, Issue of LFAR and Certificates
Co-ordinate with Head of Business of the bank and other senior management on a regular basis
Qualified Chartered accountant
7-9 overall years of post qualification experience in banking industry preferably foreign bank
Abreast the relevant RBI regulations and accounting standards
Leadership qualities, Ownership of items and self starter
Strong articulation and navigational skills
Strong team-player and able to work under pressure and meet tight deadlines
Ability to work independently with external auditors / regulators

CIB F&bm-regulatory Reporting Resume Examples & Samples

Assistance in daily monitoring and preparation of the market risk element of capital adequacy and large exposures reports for all UK regulated entities
Assistance in the preparation of the COREP market risk templates
SME on regulatory capital calculations for market risk
Review and investigate trends and provide commentary for management
Understand the reporting model infrastructure and implement streamlined process solutions towards a more efficient reporting model
Involvement in other non-BAU tasks, such as projects and policy matters that impact the legal entity and the financial reporting function
Provide ad hoc MIS reporting and analytics when required by management
Strong interpersonal and team working skills
Self motivated that is able to work with minimal supervision
Demonstrate strong analytical and problem solving skills
Flexibility to work under pressure to meet changing work requirements and strict deadlines
Ability to communicate effectively at all levels
Strong attention to detail
Proficiency in Microsoft Office – Excel (pivot table and vlookup), Access, Outlook, Word and Powerpoint
General accounting, reconciliation and finance knowledge essential, preferably from a Regulatory environment
Experience of Axiom at a user level although this is not essential
Investment product knowledge would be an advantage but not essential
Degree qualification

Cib-f&bm-emerging Markets Regulatory Reporting Controller Resume Examples & Samples

Meet regulatory risk reporting requirements for the business (RWA calculation in accordance with Basel I and Basel III)
Strong understanding of accounting and/or regulatory principles
Strong knowledge of vanilla trading products and risks
Experience in Product Control or Financial Control preferred
Good communication and relationship management

Regulatory Reporting Policy Resume Examples & Samples

Ensure all Corporate and Bank Regulatory reports filed are timely and accurate, in agreement with other externally reported information, and reconciled to the Firm’s underlying financial statements
Review of Competitor Analysis related to Regulatory Reports
Build and maintain strong relationships with the various US regulatory agencies
Assist with overall coordination and preparation of related exams/audits
Advise legal entities, lines of business, and Corporate functions on various policy and reporting issues
Document and communicate new regulatory reporting developments which includes review, summary and communication of various regulatory reporting proposals and new regulatory reporting requirements
Represent JPMC on Clearing House Regulatory Reporting Committee
Partner with the internal Regulatory Reporting Team and internal External Reporting Hub on various regulatory policy and reporting issues and projects as appropriate
Partner with various reporting teams on process improvement and overall strategic agenda
Partner with legal entities, lines of business, and Corporate functions to improve data quality and efficiency of reporting processes
Participate on project teams and oversee special projects as needed including training
10 years related experience
Knowledge of Regulatory and related requirements
Strong leadership skills – both in words and actions – ability to drive overall agenda
Strong ability to understand the big picture while maintaining a detailed focus on reporting
Effective communication skills – clear, concise, and appropriate method of delivery
Strong relationship building skills – partnering and networking
Strong analytical skills
Strong accounting skills
Flexibility – dynamic market/regulatory environment requires adjusting of priorities
Ability to manage multiple projects concurrently
Ability to raise issues to the appropriate level of authority
Ability to make connections and understand potential impacts across entities, businesses, and functions
Bachelor’s degree in Accounting, Finance or related field

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

Excellent verbal and written communication
Great negotiating and influencing skills and ability to interact effectively with senior management
Advanced expertise in pitchpro/powerpoint/excel/word/Sharepoint
Understanding of User Acceptance Testing and Functional/ Business requirements for Technology build
Understanding of best practices for Project Execution

VP, Regulatory Reporting Resume Examples & Samples

Provide analysis & compliance related to the following reports
7+ years related experience; accounting or finance background preferred
Knowledge of accounting and financial reporting. Regulatory reporting knowledge a plus
Strong leadership skills both in words and actions and ability to drive overall agenda
Strong ability to understand the big picture while maintaining a detailed focus on reporting
Effective communication skills with clear, concise, and appropriate method of delivery
Strong relationship building skills in partnering and networking
Strong accounting and analytical skills
Flexibility and dynamic market/regulatory environment requires adjusting of priorities
Ability to manage multiple projects concurrently
Good judgment and a willingness to make decisions

Associate, Regulatory Reporting Resume Examples & Samples

Provide analysis & compliance related to the following reports
3 – 5 years related experience; accounting or finance background preferred
Knowledge of accounting and financial reporting. Regulatory reporting knowledge a plus
Strong leadership skills – both in words and actions – ability to drive overall agenda
Strong ability to understand the big picture while maintaining a detailed focus on reporting
Strong relationship building skills – partnering and networking
Flexibility – dynamic market/regulatory environment requires adjusting of priorities
Ability to manage multiple projects concurrently

Manager, Accounting & Regulatory Reporting Resume Examples & Samples

1) DS Inc. – Finance, Regulatory Reporting
Ensure timely submission of Monthly Financial Report (MFR) to Investment Industry Regulatory Organization of Canada (IIROC). Includes review of MFR and performing monthly variance analysis
Preparation of quarterly financial statements and variance analysis to be presented by the CFO to the DS Inc. Board of Directors
Weekly review of Risk Adjusted Capital calculation to monitor capital position
Lead implementation and integration of new regulatory requirements into existing processes and financial models to ensure compliance
Prepare annual Risk Adjusted Capital (RAC)
Preparation and completion of annual FIB Insurance application (which is a regulatory requirement) for RBC Dominion Securities Inc
Professional accounting designation (CPA, CA, CMA, CGA)

Regulatory Reporting Controller Resume Examples & Samples

Audit experience preferred
People management experience preferred
Leadership skills as will be responsible for managing the reporting team
PRA/FCA Regulatory reporting experience (Capital Adequacy, Balance Sheet, P&L,Large exposures, Leverage Ratio)
Attention to detail and time management are essential skills for this role. In additionthe candidate should have the flexibility required to work in a dynamic environmentunder tight deadlines
Good presentation skills are required as this is a high profile role, engaging with senior management
Comfortable in a changing environment

Regulatory Reporting Basel Validation Manager 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
5+ years of prior experience in a line role or supporting a finance or reporting function
Ability to multi-task, adapt, and work well under pressure
Prior audit or consulting experience
Understanding of the Basel Framework and/or regulatory reporting

Regulatory Reporting Compliance Officer Resume Examples & Samples

Actively monitor regulatory developments and trends, and take appropriate action to ensure compliance with new or amended regulations
Analyze and assist in implementing new reporting obligations
Participate in industry working groups focusing on regulatory development e.g. SIFMA and FIF
Advise and train Operations staff on regulatory issues related to their Business Unit
Advise on reporting requirements for new business practices and technology changes
Draft and review policies and procedures
Assist the Firm’s Regulatory Inquiries Group and Examinations Team with FINRA and SEC Regulatory requests
JD preferred
Excellent interpersonal skills, confidence, credibility, and the ability to effectively work within the organization and communicate with junior and senior business and operations personnel
Enthusiasm to learn
Fine attention to detail
Strong communication skills, both written and oral
Focus on organization and task management
Comfort with learning and using firm applications
Willingness to manage and “own” multiple tasks and priorities
Ability to spot issues and analyze complex problems quickly and thoroughly

Development Role for Local Regulatory Reporting Resume Examples & Samples

Work on key development projects ensuring timely delivery
Work closely with other IT development function and ensure all deliverables from the requirements are met
Participate in technical discussions representing EMEA finance technology
Adhere to SDLC and Software Quality standards always
Manage a small team of developers
4 years of experience as Software Developer in systems using Unix and Oracle(SQL, PL-SQL)
Linux knowledge would be an advantage
Financial Services experience is preferred but not mandatory
Good working knowledge of Project lifecycle methodologies
Experience on Database / Data warehousing applications preferably with a bank or financial Institution
Hands on experience on shell scripting and Sql
Should have hands on experience with ETL tools [Abinitio, Informatica etc.]
Bachelor’s Degree or equivalent

Junior Compliance Officer Regulatory Reporting Resume Examples & Samples

Bachelor Degree or economic apprenticeship
Knowledge of financial markets, banking industry and products preferred (prior Banking experience is an advantage)
Minimum 1-2 years of work experience in a similar field
Willingness to perform repetitive work to a constantly high level of accuracy
Intensive attention to detail and the ability to analyse and process large amounts of data
Excellent team player, ambitious and structured working attitudes
Extensive MS Excel skills
Fluency in English is a must, Fluency in German is an advantage as well as for additional language skills

Head of Broker / Dealer Regulatory Reporting Resume Examples & Samples

Review of the monthly fixed income haircuts which includes US Government Bonds, municipal securities, corporate bonds including investment grade, high yield and non-marketable bonds as required by SEC Rule 15c3-1
Review the weekly and monthly SEC 15c3-3 Customer Reserve Formula (SEC client money protection) and CFTC related client money computations
Supervision and review of the monthly SEC FOCUS report to be filed with the US regulators. This involves working closely with the many different operational areas within SEC LLC to compile the required identifiable items and the corresponding capital charges associated with each
Review of monthly capital charges that support the monthly SEC FOCUS filing including securities borrow/loans, currency, aged broker and customer fails
Ensuring policies and procedures (including Written Supervisory Procedures) are current related to all activities performed by the team
Supervision and review of the weekly FR2004 primary dealer reporting to the Federal Reserve Bank
Responsible for supporting the annual FINRA FinOp exams and periodic SEC/CME/CFTC exams
Additional responsibilities and ad hoc work as the US Regulatory landscape continues to evolve
Review of the 17-H report to the SEC and CFTC. This entails compilation and organization of data related to risk assessment for SEC LLC and its affiliates
Working closely with the front office on regulatory interpretation matters include new rule implementations
Represent UBS in industry forums on related broker/dealer/FCM regulatory matters
The role requires strong communication skills, as it faces off with areas within Finance, Operations and Front Office management
10-15 years of experience in broker/dealer or futures commission merchant regulatory reporting
BA/BS Accounting and CPA or related finance field (MBA a plus)
Detailed US regulatory reporting experience mandatory (FINRA Series 27 mandatory) across SEC and CFTC broker/dealer/FCM rules
Strong communication and organizational skills and ability to interact with UBS senior management on various committees such as the ALCO (Asset/Liability Committee), Quarterly Board Meetings, etc…
Significant experience in establishing and managing regulator relationships
Prior experience in a regulatory oversight role a plus (FINRA/CFTC/CME/Fed etc…)
Strong documentation and organizational skills – ability to document work in a clear and proficient manner and be capable of managing numerous responsibilities, while remaining organized
Proficient in MS Office applications (MS Excel, MS Word and MS Access)

Regulatory Reporting Ccar Analyst Resume Examples & Samples

Support implementation of regulatory reporting for foreign banking organizations required by Enhanced Prudential Standards established under section 165 of the Dodd Frank Act
Develop and document business requirements and functional specifications for CCAR reporting, i.e. Y-14A and Y-14Q
Prepare test planning, develop unit test cases, and participate in user acceptance testing
Support deployment of reporting infrastructure. This includes underlying controls to ensure accuracy, completeness, and timeliness
Develop reconciliation process to ensure reports reconcile to general ledger, Y-9C, Capital Plan, and Business projection baselines
Liaise with other Finance and Risk work streams to ensure consistent and reconciled approach
Work closely with foreign branch regulatory reporting production unit to replicate control processes for IHC CCAR reporting
Work closely with Static Data Review Team to develop and enhance existing processes that perform a comprehensive review of static data attributes, which support financial and regulatory reporting
Responsible for aggregating and reviewing the Y-14 A/Q reports along with providing the regulatory report or disclosure to the report signer
Preparing regulatory reports/schedules (actuals) in accordance with instructions
Ensuring timely and accurate regulatory report filings
Performing supervisory review of the completed reports/schedules
Reviewing manual adjustment entries for reasonableness. Liaise with the financial and regulatory reporting groups to reduce required manual adjustments
Reviewing reconciliations to GL, source system, and other financial reports (SEC or other applicable external reports) when appropriate
Identifying issues and escalating to appropriate parties
Performing analytical reviews which include a variance analysis at the schedule/report level to identify and ensure significant variances are explainable
Understanding reasons of variances from prior period(s)
Maintaining current written documentation of internal processes and procedures related to preparing and filing regulatory reports
Monitoring rule/instruction changes and providing timely updates to impacted parties, both at the Corporate and LOB levels
Evaluating impact and necessary updates to regulatory reporting requirements from new or changes to products, new or changes to legal entities, business initiatives including acquisitions/divestitures, and system changes reported by LOB
Providing guidance on the report instructions to Data Owners
Developing and maintaining supporting documentation for each regulatory filing, including reconciliations to the financial statements
Running edit and validity checks
Document data exceptions and ensure that they are communicated accordingly, including required action plans
Produce reporting metrics
Support accountability structure through governance and enforcement structure
Experience in bank regulatory and financial reporting

Regulatory Reporting Technical Architect Resume Examples & Samples

Helping the teams discover new approaches and technologies, while keeping in mind the UBS policies and procedures, in order to maintain our reputation as the most innovative project
Inspiring the development teams and guiding them in the future evolution of the system
Great passion for software development and ensuring that our teams continue to exhibit the same passion lead by example and will have great hands-on skill and experience applying XP practices such as TDD, Pair Programming and CI

Banking Operations Specialist Cash Control & Regulatory Reporting Resume Examples & Samples

Proficient in use of Microsoft Excel
Able to perform in high-pressure environment
Ability to prioritize and multi-task
Proficient attention to detail
Team player (displays enthusiasm, confidence & commitment)
Effective communication ability (verbal & written)

OTC Derivatives Regulatory Reporting Metrics & Exception Management Operations Team Leader Resume Examples & Samples

Strong English Skills
Team Management / Supervision experience
Client service experience would be an asset
Degree in finance/banking would be an asset
Strong Excel knowledge
Strong organisational, interpersonal & communication skills
Perform to a high level of accuracy and have good attention to detail
Ability to analyse situations, determine issues, suggest methods of resolution & implement
Ability to priortise and escalate issues as appropriate

Assistant VP-fc Regulatory Reporting Resume Examples & Samples

Take ownership of Base andregulatory reporting submission to FSA and manage team preparing the relevant submissions
Preparation and review of daily risk weight assets reporting and daily monitoring of regulatory ratios against internal and regulatory limits
Prepare and review related MIS reports for dissemination to key stakeholders
Take ownership of relevant reporting controls and processes to ensure reporting is free of material errors
Review monthly reconciliations of balances from various regulatory systems to books and records and ensure reconciliations are satisfactorily explained and resolved
Assist with ad hoc queries from management, head office, product control, treasury and other key stake holders
Review and ensure the control environment supporting the overall reporting process is adequate with proper supporting documents and reconciliations in place
Participate in all business driven projects including implementation of new businesses or processes into BAU, reporting, BAU calculations and reporting, process improvements and efficiency driven initiatives, and system testing
Assist the assessment of capital implications on new business transactions and downstream reporting implications
Manage a team of 5 B4 staff out of the Chennai office
Ad hoc review and analysis as required supporting VP manager based out of Singapore
Qualified Accountant - CA, CPA, ACCA
Strong academic background - 1st /2nd class honors, minimum bachelor degree from a reputable institution
6 to 8 years post qualification experience
Proven track record in managing teams
Has the initiative and ability to break down problems into components parts and resolving them
Can solve problems effectively and creatively
Good influencing and negotiation skills
Provide analysis and resolutions to complex issues and proposed innovative recommendations and solutions to team members for implementations
Excellent communication skills in both formal and informal settings & ability to interact with the region and London as part of a global team (written and verbal)
Leadership
Able to carry out self initiative with coordination of internal/external teams
Displays integrity, initiative and commitment through interactions with colleagues and clients
Demonstrates credibility when dealing with senior management, outside regulators and internal audit
Work well in a team and maintains good relations with team members. Show enthusiasm, initiative and diligence

CIB F&BM Regulatory Reporting Resume Examples & Samples

At least 3 years relevant post-graduate professional experience
HKMA and SFC financial regulatory reporting knowledge is a must
Knowledge with US GAAP and IFRS
Relevant product and accounting knowledge of markets products
Good team player
Excellent communicator both verbally / written and able to explain complex issues in simple terms
Able to develop/maintain strong relationships with key stakeholders

AVP, Regulatory Reporting & Stress Testing Resume Examples & Samples

The role will require the candidate to both work collaboratively and independently across functions and disciplines to ensure the success of critical deliverables and initiatives. The Candidate must establish effective relationships with key downstream and upstream stakeholders and facilitate the understanding of projections, management engagement in stress testing, enable development of assumptions and robust forecasting. End to end understanding of inputs, process and projected impacts is required for candidate to offer management insightful reporting, analysis and commentary that addresses variances, relationships and impacts of methodology, etc
Minimum of 5+ years progressive finance or risk experience and strong aptitude to learn
Proven CCAR Stress Testing experience
Strong understanding of finance, risk, and regulatory concepts, analytical skills and interpersonal/leadership skills required

Statutory & Regulatory Reporting Finance Resume Examples & Samples

Administer and coordinate the Annual Report preparations on our IBM Financial Statement Reporting system for producing the Report to Shareholders (RTS)
Assist with production of certain tables that are published in the RTS
Work with securities database to produce various reports, some impacting our financials
Assist with projects engaged in by the group and help automate processes (VBA knowledge would be very helpful)
Preferably third or fourth year Bachelor’s degree
Inter-personal skills
Advanced Excel skills (pivot table, vlookup, Index, filter), we will administer an Excel test during the interview
VBA coding knowledge
Some accounting and finance knowledge, if possible

HR Risk & Regulatory Reporting Resume Examples & Samples

Attend Regulatory HR Risk scoping sessions and determine appropriate measures/analytics
Propose appropriate solutions/responses to measuring new HR Risk processes
Understand data needs and utilize Morgan Stanley systems to complete reports
Liaise with policy team to ensure Morgan Stanley is reporting correct data in appropriate timeframes
Analysis and implementation of regulatory reporting requirements
Ensure efficiency and operational controls are in place to ensure robustness of reporting tools and processes
Create additional HR metrics/analytics as needed

Risk Manager, VP-risk & Regulatory Reporting Resume Examples & Samples

Develop and prepare monthly / quarterly reporting across multiple legal entities in support of the firms resolution and recovery efforts
Coordinate reporting between LOB Risk and Finance teams and with Firmwide Risk Reporting
Prepare Board of Director reporting Participate in 10Q process
Understand the legal entity structure of the firm and participate in legal entity expansion / consolidation as necessary
Assisting in preparation of Consumer Risk Management reporting
Work closely with LOB and Corporate function partners in order to meet reporting deadlines for both routine and ad hoc requests
Provide relevant support to Senior Risk Management executives, as appropriate
Support Firmwide risk projects and initiatives
Degree in accounting, finance or equivalent quantitative discipline
Ability to understand internal policies and external accounting and regulatory requirements pertaining to consumer risk
Ability to communicate effectively, both written and oral; comfortable working with senior Risk executives
Strong analytical skills; detail oriented
Strong partnership and influence skills Self starter; comfortable working independently to meet deadlines Strong time management and organizational skills
Good PC skills: Excel skills essential
Strong computer skills: Microsoft Office, Essbase, SharePoint knowledge required

Regulatory Reporting Compliance Associate Resume Examples & Samples

Renovating regulatory processes (e.g. involvement with the likes of transaction and other types of regulatory reporting)
Interpreting rules and applying judgment on practical solutions
Providing advice and guidance to the business units with regards to complex structured transactions
Leading responses to FCA/industry focused initiatives (e.g. EMIR transaction reporting, DTR consultation) and representing the Firm’s interests in industry working groups and coordinating internal action across S&T
Involvement in regulatory visits and examinations
Coordination and design of management information across: policy work, training, key initiatives and issues and Compliance owned processes
Ensuring robust procedures and audit trails are properly maintained with respect to Compliance owned processes
Drafting of procedures, training decks or Compliance notices
Execution of key regulatory reporting initiatives across the business units, operations and LCD
Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate
Product and investment banking knowledge (having worked in-house for an investment bank highly preferable)
Good understanding of UK Compliance issues and relevant laws and regulations. Ideally 3 years + experience in large shareholder, short selling and/or transaction reporting role at a complex financial institution
Confident, able to use initiative, excellent judgment, analytical, good communication and organizational skills

Finance, Controllers, Regulatory Reporting Resume Examples & Samples

Assist in the calculation and analysis of GS&Co’s daily Customer and PAI Reserve Formula requirements
Assist in the preparation of the monthly information to be included within GS&Co’s FOCUS report
Prepare various reports to be sent to senior management summarizing specific Reserve Formula information
Assist in preparing necessary reports related to regulatory examinations and inquires
Analyze and advise regarding the Reserve Formula impact for new trades, transactions, or system flows
Desire to drive initiatives/projects to improve processes, procedures, and workflow
High level knowledge of SEC Rule 15c3-3
Committed to a career in financial services
Ability to work well both within a team as well as independently with minimum supervision
Excellent interpersonal, communication, and analytical skills
Strong PC skills (Excel, Word)

Consultant Regulatory Reporting Resume Examples & Samples

Collect information from various sources, i.e. Group Finance, Group Credit, and business units, i.e. Absa Capital, Absa Corporate and Business Bank, for the compilation and preparation of risk information for Barclays in support of FSA returns
Coordinate resources from other areas of the ABSA Group, planning and managing the timetable for data collection, consolidation and review of data and information and to ensure that deadlines are met in respect of data submissions to Barclays and the FSA
Prepare credit and related data, specifically Risk Weighted Asset data, for Barclays within set deadlines
Calculate the relevant sections required for returns, such as Non-Standard Asset, Securitisation, Impairments and Basel 1 Capital Floor calculation etc. for submission to Barclays as outlined in the Barclays policy and within set deadlines; drawing from source data, own financial and Basel knowledge and expertise
Prepare the reconciliation of the risk and finance data (RAFDA) between ABSA and Barclays systems to ensure that the data submissions to Barclays is complete and accurate
Collect information from various sources, i.e. Group Finance, Group Credit, and business units, i.e. Absa Capital, Absa Corporate and Business Bank, for the compilation and preparation of BA returns to the SARB
Coordinate resources from other areas of the ABSA Group, planning and managing the timetable for data collection, consolidation and review of data and information and to ensure that deadlines are met in respect of data submissions to SARB
Calculate the relevant sections required of returns, such as Non-Standard Asset, Securitisation etc. for submission to SARB within set deadlines; drawing from source data, own financial and Basel knowledge and expertise
Build stakeholder relationships, i.e. with Group Finance, Group Credit etc
Provide input and oversee ad-hoc projects which involves system development
Working with team to ensure that the Detailed Risk and Control Assessments (DRACA's) for the department is up to date and accurate
Complete attestations to testify to the adequacy of controls on request
Create and maintain spreadsheets, with supporting formulae and macro's to support complex calculations for specific line items in the BA and FSA returns
B.Com or Risk degree or equivalent NQF level 6 qualification
3 years’ experience in Banking or other related Financial Services
Knowledge of FSA returns would be preferred

CIB Tech-regulatory Reporting Resume Examples & Samples

Gather detailed business functional and non-functional requirements from the users
Detailed analysis of the requirements and clarify requirements
Provide clear and detailed feedback on business requirements doc provided by users
Generate detailed functional specification doc
Perform detailed data analysis by running database queries in Oracle PL/SQL environment
Liaise with development team and provide on-going clarifications
Generate testing plan and test cases
Perform functional SIT
Perform UAT support and ensure user queries are addressed
Monitor test defects and keep the project manager informed of the status
Comply with the JPMC Project Life Cycle and internal processes
Closely track change requests / ad hoc activities and communicate the impact on a timely basis

Regulatory Reporting Controller Resume Examples & Samples

1)Preparation, review and presentation of PRA/ BofE regulatory returns on a monthly/quarterly basis
UK entities Leverage COREP returns
Various MS entity legacy PRA/ FCA returns (FSA001, FSA002, FSA015, FSA017) and Group FSA015, and FSA017
Coverage of the BofE regulatory returns (BT, AD, AL, BE etc)
2)Preparation, review and presentation of internal management information
Quarterly (and ad hoc) internal capital forecast scenarios for ICAAP (including pillar 2b calculation), Going Concern etc
Support of internal capital planning through preparation of ad-hoc forecasting
3)Ad hoc requests such as, but not limited to
Internal Stakeholder education
Technical reviews of PRA/ FCA returns for Asset Management companies
Liaison with Financial controllers with regard to calculation of capital resources for solo entities and the regulated groups
PRA/ FCA Regulatory reporting experience (Capital Adequacy, Balance Sheet, P&L, Large exposures, Leverage Ratio)

Finance Regulatory Reporting Technical Project Manager Resume Examples & Samples

Require an understanding of financial services regulatory requirements and frameworks
Integrate with Citigroup runtime platforms, including Websphere, Business Objects, Ab Initio, Netezza and Oracle
Facilitates tighter IT/business alignment leading towards better decision making and successful technology deployments that address business requirements
Have responsibility for project planning, delivery management, system design and implementation
Have responsibility for the evaluation, analysis and review of technologies as required by the business and/or other CATE technology domains (solutions or tools)
Work with the GFTS portfolio architects in defining and documenting any reference architectures, and technology standards
7+ years of experience in developing/architecting the solutions, preferably in financial sector with the knowledge in following areas of ETL data warehousing technology including Ab Initio etc
Exposure to multiple, diverse technical configurations, technologies, and processing environments
Knowledge of all tiers/components of a technical architecture
SOA/ESB/J2EE Technology, Experience with WebSphere is preferred

Cib Tech Regulatory Reporting Applications Developer Singapore Associate Resume Examples & Samples

Work closely with the system/product analysts and Operations users to understand the functional and non-functional requirements
Liaise with the other team members and other Technology teams for solutioning
Create detailed Technical Design Specification document
Create detailed unit test plans and ensure good quality of all the deliverables
Support System Integrated Testing (SIT) and User Acceptance Test (UAT)
Keep the team and management informed of the status from technical perspective
Minimum of 7-8 years of strong technology experience on the following technologies - Oracle database and PL/SQL on Linux/Unix and Shell scripting
Working knowledge of Java/J2EE (Good to have)
Should have hands-on application development experience
Strong co-ordination skills to work in partnership with the users, system analysts and other technology teams
Exposure to Agile Software Development methodology

CIB Tech-regulatory Reporting Resume Examples & Samples

Must have prior experience working for an investment bank, functioning as a system analyst in technology projects
Minimum of 5-7 years of system analyst experience
Should have hands-on data analysis (database query skills). Being able to understand Oracle stored procedures (no need to write any programs)
Strong communication skills in English – verbal and written
Good co-ordination skills to work in partnership with users, project manager and developers
Thorough understanding of SDLC phases and essential documentation in each of these steps
Degree from reputed University with good academic record
Experience in one of these: Regulatory reporting, Finance, Risk or data warehousing

CIB Tech-regulatory Reporting Resume Examples & Samples

Scheduling, coordinating and the management of releases and resiliency activities such as disaster recovery, server patches etc
Implementing and managing release processes for the progression of code in the test, and production environments
Lead and co-ordinate the go-Live activities including the execution of the deployment plans and checklists
Prepare deployment plans and run books
Measure and monitor progress to ensure application releases are delivered on time
Manage risks and resolves issues that affect release scope, schedule and quality
Continually work towards making improvements in the release process
Perform, manage, coordinate infrastructure upgrade, migration projects
Produce detailed documents to execute the resiliency activities like disaster recovery, server patches etc
Monitor and forecast Storage Growth
Communicate release details and schedules to the Business as required and publish weekly release & resiliency status reports
Develops scripts and automation tools used to build, integrate, and deploy software releases to various platforms
Minimum of 7 years experience with following areas – Release, Change Management, Resiliency Management or Level 1/2/3 Support
Strong co-ordination skills to work in partnership with users, project manager, developers and business analysts
Demonstrated effective leadership and analytical skills
Willing to work late nights/weekends, if required
Technical skills (preferred) - Oracle PL/SQL on Linux/Unix, Java/J2EE, Shell scripting, reporting tools like Business Objects, Cognos
Understanding of investment banking products

CIB Tech-regulatory Reporting Resume Examples & Samples

Closely work with and understand the business and non-business requirements from the users, system analyst and document the technical specifications
Develop code that conforms to the design, addresses non-functional requirements, and complies with the coding standards and conventions. Participate in peer code reviews
Create detailed Unit Test plan, perform unit testing, integration testing, support QA and User acceptance testing
Work closely with Project Managers and other members of the development team to establish clear project deliverables and timelines, and to ensure timely completion of the deliverables
Analyze current programs and troubleshoot production issues. Identify potential performance tuning improvement areas and implement tuning measures
Ensure that best practices are followed throughout the development lifecycle and ensure high quality delivery during all phases of the SDLC
Possess a good understanding of change management and release processes
Should have hands-on application development experience in working on medium to large scale software projects
Strong co-ordination skills to work in partnership with users, project manager, developers and system analysts and other technology teams
Exposure to Agile software development methodology
Strong communication skills in English – verbal and written communication
Degree from reputed University with good academic records
Good understanding of investment banking products
Experience in one of these – Regulatory reporting, Finance, Risk or data warehousing

Cib Tech Regulatory Reporting Applications Developer Lead Associate Resume Examples & Samples

Plan and report project status to senior management, recognize and resolve issues across teams, and provide hands-on project guidance to ensure completion of assigned projects
Ensure high quality delivery during all phases of the SDLC and ensure a right balance is maintained between quality, functionality, schedule and cost
Liaise with the other team members and other Technology teams and come up with the right solutions
Manage stakeholder expectations effectively, facilitate decision-making by providing right level of information and timely escalation when required
Team Management - Manage resource planning and efficient utilization of resources
Comply with the JPMC Project Life Cycle and internal processes
Minimum 12 years of hand-on experience on the following technologies - Oracle database, Oracle PL/SQL on Linux/Unix and Shell scripting
Should have some project management experience
Attention to detail. Should be capable of drilling down to project issues (technical and business) and guiding the team to resolve them
Strong negotiation and co-ordination skills to work in partnership with the users, system analysts and other technology teams
Through understanding of SDLC phases and essential documentation in each of these steps
Good understanding of Agile Software Development methodology
Strong communication skills in English - verbal and written
Degree from reputed University with good academic record
Good understanding of investment banking products

Regulatory Reporting Resume Examples & Samples

Providing analysis and commentary on consolidated stress testing submissions
Daily interactions with the Global stress testing unit at a management level to drive resolution of risks and issues
To work effectively with group regulatory team and the rest of Global Finance; and in particular the Global Stress Testing Unit
Pro-active approach to process improvement, identifying and developing new initiatives to drive overall efficiency and accuracy of submissions
Modification of existing stress testing models in line with feedback regulators and the Change team
Knowledge of accounting and consolidation issues
Knowledge of current accounting and regulatory developments
Knowledge of PRA and other regulatory reporting requirements
Knowledge and experience of Basel III/CRDIV
Knowledge and experience of Leverage ratio preferable
Previous experience in a reporting role essential
Preferably a qualified Accountant
Excellent interpersonal and communication skills, both written and oral
Self-motivated and capable of working as part of a team
Good mathematical and analytical skills
Ability to work under pressure, report to tight deadlines and deal effectively with issues as they arise

Assistant VP of Bank Regulatory Reporting Resume Examples & Samples

3-8 years experience in the Banking/Finance industry
Experience in US Bank regulatory reporting (Call Report and FR Y-9C)
Knowledge of US GAAP accounting

VP / Bank Regulatory Reporting Controller Resume Examples & Samples

7 to 10 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank with knowledge of bank regulatory reporting requirements (i.e. FFIEC 031, Y9-C, FR2900, FR2644, 002/S, SLT, SHLA)
Outstanding interpersonal skills
Ability to work independently, influence and engage across the organization
Ability to research, verify and document business drivers as well as deliver oral presentation on results in a clear and concise manner

Regulatory Reporting Ccar Change Management Assistant VP Resume Examples & Samples

4-7 years of FP&A experience
Understanding of forecasting and modeling, stress testing
CCAR experience
BASEL experience

Financial Holding Company Regulatory Reporting Resume Examples & Samples

Preparation of FRY9C filing (Consolidated Financial Statement for Holding Companies), the main quarterly filing to the Federal Reserve Bank of New York (FED)
Preparation of Semiannual Report of Derivatives Activity (FR 2436) filing to the Federal Reserve Bank of New York
Reconciliation of FR 2436 report to the applicable derivative schedules of FRY9C report
Assistance and back up FHC Regulatory Reporting on the project team and working closely with Treasury to roll out the new Liquidity Reporting (5G – form 2052) and to provide daily filings to the FED
Preparation and present analytics and variance analyses for quarterly due diligence with Senior Management and functional partners
Participation in activities geared towards monitoring of internal control framework for Regulatory Reporting which includes management of issues and action plans reported
Work with all relevant constituents to review and update Regulatory reporting policies and procedures
Assistance in providing responses to any FRB inquiries, including port filing questions and FRB examination
Assistance in reviewing New Product Approvals (NPAs) including complying with FED requirements around NPAs
Ad-hoc projects as required
BS/BA in Accounting and 5+ years relevant Regulatory Reporting or closely related industry experience
Ability to interact and influence effectively at all levels of the organization
Control and Risk focus
Proven ability to execute special projects and strategic initiatives; manage time effectively and meet tight deadlines
Excellent written and verbal communication skills and confidence to lead meetings
Self-motivated with a strong sense of ownership and accountability for tasks and people
Ability to multi-task and work in a fast pace environment
Detail oriented and ability to adhere to strict timelines
MS Office with emphasis on Excel, PowerPoint and SharePoint
Axiom reporting experience
Internal Audit/ Big 4 background
Regulatory Reporting experience

Chief Risk Officer Regulatory Reporting Coordinator Resume Examples & Samples

Manage the collation, delivery and storage of CRO’s regular deliverables to regulators. This consists of internal risk reports and MI which our regulators have asked for on a regular (e.g. weekly, monthly) basis. The deliverables cover all risk areas (Market, Credit, Operational Risk), and all regulators (Swiss, UK, US, APAC)
Manage the production of CRO Regulatory Risk Management’s monthly MI pack to all stakeholders across CRO. This consists of discussion of all CRO’s current regulatory interactions, commitments, and regulatory meeting calendar
Manage the Commitments tracker which lists all CRO’s regulatory commitments, including production of bespoke MI to senior governance forums across the bank
Assist with project management of CRO’s self-assessments against regulatory rules
Assist with development and maintenance of CRO Regulatory Risk Management’s SharePoint; key communication tool to all stakeholders across CRO on regulatory commitments, rules and meetings
High attention to detail, excellent drafting and English comprehension skills
Ability to challenge quality/consistency of documents
Ability to produce high quality, accurate work, under pressure and to tight deadlines
Ability to communicate clearly and effectively, particularly across cultures and when working remotely
Proven IT skills and knowledge of Microsoft Office products – specifically MS Access (including writing SQL), MS Excel (including writing macros and/or VBA) and MS SharePoint (using List functionality)
Proven performance through high academic achievement
English fluency

Regulatory Reporting Unit Quality Assurance Specialist Resume Examples & Samples

Assist in the design and implementation of a Regulatory Reporting QA Testing Plan covering Trade and Transaction Reporting. This will include the designing, coding and deployment of QA tests
Continuously develop the Testing Plan and Approach, based on new regulatory requirements and ongoing risk based assessment
Review and make recommendations to improve the Testing Plan
Incumbent should ideally be educated to a degree level
A minimum of 2 years tenure within Operations with proven track record of process improvement and a direct involvement in Controls and Risk / QA related tasks
The incumbent should have an understanding of data analytical tools and have experience of coding in Microsoft Office related products and ideally Lavastorm

AVP, Bank Regulatory Reporting Resume Examples & Samples

4 to 6 years experiences in the banking industry
Knowledge of US GAAP
Must be adept in use of MS Office 2010 or later, particularly Access and Excel

Accountant, Regulatory Reporting Resume Examples & Samples

4-6 years of accounting and/or finance experience. Regulatory reporting experience is a must
Bachelors degree from a good school with a good GPA
Strong analytical skills including the ability to manage and organize data, draw valid conclusions from data through analysis
Prepare and analyze regulatory reports and schedules
Research, understand, and document variances
Work with business units to gain an understanding of the business activities and reporting process
Partner with business units and other regulatory reporting team members to improve processes and efficiency, and provide guidance on implementation of new or changed requirements

VP Bank Regulatory Reporting Resume Examples & Samples

CPA or MBA preferred
7-10 years of experience in finance with increasing responsibility at a global investment bank (knowledge of bank regulatory reporting requirements necessary)
Strong understanding of and direct experience with financial, product, and regulatory reporting
Broad based knowledge in the financial management of bank holding companies and bank related entities
Strong background and understanding of U.S. GAAP
Basic competence in business advisory and partnership, financial and control leadership, and business judgment and acumen

RWA & Regulatory Reporting Change Analyst Resume Examples & Samples

End to end management of changes made to the Risk Platform, including review and challenge of requirements, design, assessment of impacts on the RWA and UAT
You'll specify and create project planning, analysis & UAT in support of changes to the Risk Platform in relation to existing reporting or new reporting requirements within SAS and OBIEE
You'll have responsibility for the completion of projects and testing of requirements relating to the Risk Platform change
You'll also be responsible for the end to end project management of Regulator reporting changes, ensuring that projects are completed and delivered in line with stakeholders expectations
Will have experience of Credit Risk or regulatory reporting Basel 3 / CRDIV
Ideally some form of project experience from a BAU change perspective
Natural ability to manage large quantities of complex quantitative and qualitative information as well as a structured, systematic approach, with a high degree of accuracy
And you'll be adept at understanding and analyse complex problems, formulate practical solutions and track them to resolution
Excellent communication and stakeholder enagagent

HR Compensation Regulatory Reporting Resume Examples & Samples

Liaise with policy team to ensure Morgan Stanley (MS) is reporting correct data in appropriate timeframes
Create additional Regulatory metrics/analytics as needed
Collate and complete EBA reporting and RPS filings as needed
Understand data needs and utilize MS systems to complete reports
Improve and review existing reporting capabilities and processes to adapt to new requirements
Ensure robustness of reporting tools and processes by efficiently implementing operational controls
Liaise with Payroll to ensure monthly allowance payments are completed accurately and in time
Solid experience in a compensation/analytical role, ideally within HR
Strong background in, or familiarity with, the financial services industry
Ability to manage projects, daily responsibilities and ensure accurate production of reports
Comfortable prioritizing, dealing with Senior Management and saying no where appropriate
Excellent communications skills; verbal & written
Data oriented with strong attention to detail and awareness of the need for data auditing
Competent in data process automation
Advanced Excel skills and intermediate MS Access skills
Experience of Business Objects or similar business intelligence tools (preferred but not essential)
Good time management and organisational abilities

Enterprise Architect Regulatory Reporting Resume Examples & Samples

Evaluating and selecting emerging application design tools and techniques
Guiding the development of technical standards and platforms for application design
Contributing to the establishment and implementation of best practices for application design
Implementation on application design methodologies, tools and techniques to convert business requirements and logical models into a technical application design
Collecting, generating and analysing innovative ideas and technologies that are applicable across the enterprise
Mentoring junior team members to create multiple application designs on multiple technology platforms
Demonstrate subject matter depth in the Application Design and Architecture competency
Possess a background as a Solution, Domain and Technology architect in the Core Investments domain with deep exposure in Trading and Order Management areas, OTC derivatives, Asset Management experience will be a plus
Have experience in designing IT impacts of regulatory mandates and reporting requirements for the consumption of solution architects embedded in the Platform teams
Have familiarity with relevant Enterprise Architecture and Security Enterprise Architecture frameworks
Have demonstrated effectiveness in listening to the business on architecture and/or security needs and identify risks and requirements
Be able to communicate clearly and effectively with people from technical, business and senior managerial backgrounds including the ability to translate technical information into business language
Have a Degree in Information Technology, Computer Sciences or equivalent

Risk Analytics Regulatory Reporting Resume Examples & Samples

Coordinate Risk Management Committee Meetings, maintain Minutes of all meetings, conduct follow up as needed and ensure that materials are prepared and distributed in a timely manner
Additionally, the RM Analyst will support the CRO and RM professionals in administrative tasks, internal and external reporting activities, the distribution of test results and related follow up with WM Analysts, Senior Management and external parties, including regulators
Prepare reports to reflect the status or tracking activities, deliverables, past due deficiencies and tasks and evaluate the results so as to identify trends and escalate concerns
The RM Analyst will also maintain a schedule of Office Visits and Testing Programs performed by RM Professionals
Manage and coordinate travel schedules for RM professionals and submit required expense reports in a timely manner
Work with stakeholders to ensure business cases are established and outline the program goals
Collaborates both with members from within the Wealth Management Risk Management Teams, across CIBC and with external parties
Professionalism, strong organizational and communication skills are needed in order to successfully build relationships with members of Senior Management, RM Professionals in the US and Canada, Client Service Teams, Enterprise Support and other members of the CIBC organization
Interacts regularly with each of these for the purpose of providing and obtaining critical, confidential data. Discretion and professional judgment are paramount
A self-starter with an understanding MS Office, good organizational skills, experience working in a diverse, fast-paced financial institution and prior work experience are required. Bachelor’s degree with 3 – 5 years’ experience preferred

Manager PRA Regulatory Reporting Resume Examples & Samples

Providing technical guidance and interpretation of risk regulation relating to Basel II and III (based on CRDIV and PRA Handbook (GENPRU and BIPRU))
Interpretation, impact analysis and preparation for forthcoming capital and general regulatory reform
Review and analysis of Financial Risk Management frameworks including risk methodology, processes, systems and controls for Credit Risk, Counterparty Credit Risk and Market Risk as they relate to, and impact, the PRA regulatory reports
Base implementation including input into solution design, guidance on risk management and regulation and project management ensuring successful delivery
Assisting in developing a portfolio of industry relationships across the financial services industry to support business growth and best practices
To have a broader perspective of potential issues encountered when leading diverse teams and the strategies to overcome them; have a clear understanding of the firm’s commitment to creating a more open and engaging culture
Handling Basel financial reporting and ensuring the accuracy and timely delivery of data
Preparing statutory accounts and regulatory reports to Group for onward transmission to UK regulators and internal stakeholders
Providing best practice, business focused regulatory advice to business for new products
Liaising with Finance teams from multiple countries on regulatory reporting issues
Playing a leading role in finance projects including system implementation and enhancements
Ensuring a SOX-compliant control structure

Associate Corp Counsel Ii Regulatory Reporting Resume Examples & Samples

Leads the work of others and may provide training in contract law
Drafts and/or reviews employment contracts, independent contractor agreements, contracts for sale of goods or services, confidentiality agreements, software and marketing agreements and other corporate contracts and agreements, as required
Drafts pleadings and performs legal research associated with securities litigation
Investigates and responds to customer and regulatory complaints
Prepares and delivers written and oral presentations to internal customers
Advanced knowledge of FINRA rules and Securities Exchange Act of 1934
Advanced concepts, principles and practices of contract law, securities litigation and customer arbitration
Maintaining a large volume of corporate contracts and agreements files
Drafting pleadings and performing legal research
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Interpret and apply policies and identify and recommend changes as appropriate
Work independently as well as collaboratively within a team environment

Bank Controller Regulatory Reporting Resume Examples & Samples

Performing variance analysis and reconciliations of the above regulatory reports
Reviewing, researching and assessing impact of updates to regulatory reporting instructions/requirements
Interacting with service providers/process owners (i.e. business units controllers, operations, trading desk)
Strong organizational skills with the ability to multi task and prioritize conflicting demands
Ability to communicate effectively, both written and verbal

Regulatory Reporting Resume Examples & Samples

Managing key stakeholders across multiple business streams
Engaging with finance, risk, IT and operations to drive process improvement and change
Design and implement an improved Regulatory Reporting and Control architecture for, reducing the reliance on manual processes and resolving data quality issues
Improve upon the governance framework that supports the Regulatory Reporting and Control function
Document existing business processes within Financial Control
Identify process improvement opportunities and assist users in transition to new business processes
Design, deliver and implement an effective Target Operating Model to support faster more granular RWA reporting for regulatory submissions, external publications and enhanced MI reporting
Must have regulatory reporting experience within an investment bank
Ideally knowledge of Co-Rep/ CRD IV / Basel III
Finance reporting knowledge
Excellent stake holder management skills

Regulatory Reporting Compliance Officer VP Resume Examples & Samples

Coordination and design of management information across: policy work, training, key initiatives and issues and Compliance owned processes
Ensuring robust procedures and audit trails are properly maintained with respect to Compliance owned processes
Drafting of procedures, training decks or Compliance notices
Product and investment banking knowledge (having worked in-house for an investment bank would be preferable)
Familiarity with UK Compliance issues and relevant laws and regulations. Experience in MiFID and EMIR transaction reporting. Familiarity with large shareholder, short selling and Takeover Panel reporting at a complex financial institution would be advantageous
Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing

Senior Auditor Regulatory Reporting Resume Examples & Samples

CPA/CIA/CFSA/CISA/CFE designation preferred
3+ years of relevant auditing experience with a corporate audit department or major auditing firm
Prior regulatory reporting experience, operationally or through audit, is preferred
Proficiency in Microsoft Office Suite required; working knowledge of Visio preferred

Business Analyst Derivatives Regulatory Reporting Resume Examples & Samples

Requirements Planning & Management
Test Planning & Management
Training and expertise required

Local Regulatory Reporting Resume Examples & Samples

Basel Reporting Responsibilities
10 years relevant experience
Bachelor Degree in Accounting or equivalent, Chartered Accountant or CPA preferred Technical/Specialist skills/competencies
Strong understanding of Local and Regulatory Reporting requirements
Strong understanding of Citigroup internal control procedures and compliance requirements
Strong understanding of Citigroup accounting policies and procedures
Strong knowledge of technical accounting concepts
Strong written/oral communication skills
Excellent general computer skills Business/Industry knowledge/competencies
In-depth knowledge of accounting/finance/banking practices/principals Personal Attributes/Interpersonal skills
Strong communication skills
Ability to build strong relationships and interact with all levels in the organization
Strong influencing skills and ability to work through conflicts
Team player

Regulatory Reporting Principal Resume Examples & Samples

Experience in financial services specifically brokerage and/or trading, operations or audit, 5+ years
Possess a strong understanding of current Market Regulatory framework and environment
Detailed understanding of OATS Reporting Obligations and Market framework
Ability to interpret and understand Regulatory Market changes and the impact upon the Firm’s infrastructure and its Regulatory Reporting requirements
Prior experience in the OATS principal role
Series 24

VP of Bank Regulatory Reporting Resume Examples & Samples

6+ years of Public Accounting and/or Private Industry experience
Bachelor's Degree in Accounting
Strong knowledge of bank regulatory reporting requirements (i.e. FFIEC 031, Y9-C, FR2900, FR2644, 002/S, SLT, SHLA)
Strong background and understanding of US GAAP
Strong understanding of, and direct experience with, Financial, Product and Regulatory Reporting

Finance Regulatory Reporting Expert Resume Examples & Samples

Providing operational, financial accounting and reporting activities across multiple-locations
Performing validation controls and engaging with legal entity controllers to resolve issues
Executing procedural controls and governance procedures
Working closely with other finance teams globally in order to ensure full front-to-back process and content integrity of regulatory disclosures

Manager, RBC Branch Regulatory Reporting Resume Examples & Samples

Hand-on Management role managing the day-to-day financial regulatory reporting and ensure all regulatory reports are completed on an accurate and timely basis
Monitor changes and additions in regulatory reporting requirements and communicate changes to stakeholders
Implement processes and procedures as necessary to insure changes in financial regulatory reporting are met
Lead & manage automation activities
Assist with internal and external audit inquiries and prepare/maintain necessary work papers as required
Maintain & run regulatory reporting software package (Lombard Risk Reg-Reporter and Fidelity Call Reporter Premier)

Operations Regulatory Reporting & Monitoring Associate Jersey City Resume Examples & Samples

Documentation of operational processes or technical specifications
Writing functional specification for technology for migration to new infrastructure
Coordinating the remediation of reporting anomalies
Recommending infrastructure improvements; and
Developing recommendations for process control improvements
Solid understanding of Listed options product and process flow
Experience in project management and securities processing

Operations Regulatory Reporting & Monitoring Associate Jersey City Resume Examples & Samples

Developing reconciliation tests and recommend process control improvements
Proactively assisting the business, operations, compliance, and IT management in understanding the impact of business initiatives/changes on regulatory reporting
Coordinating the testing and implementation of remediation of identified issues that impact reporting processes
Analysis of regulatory inquiries related to trade, transaction or position data; and
Recommending infrastructure improvements
Solid understanding of the Equities, Derivatives and Fixed Income industry and products
Experience with Blue Sheet and Large Trader Regulatory Reporting
Experience in project management and securities processing (5-7 years of industry or related experience)
Ability to query database and work with technology to perform impact assessment on a large dataset
Train staff to understand complex workflows
Preparing scope and user requirements documents
Preparing test scripts

Tt Regulatory Reporting Sme & Team Lead Resume Examples & Samples

The outcome of this is to reduce the support spend by the application team
Identify the support spend and report on a monthly basis
Identify production issues that could be potential NFRs
Maintain and Progress on an NFR list and estimate the support spend that would be saved by each list

Associate Asia Pacific Employee Compliance & Regulatory Reporting Resume Examples & Samples

Perform audit compliance testing to ensure the PAD & DOI operations teams are performing various job responsibilities in an accurate and complete manner against internal standards and local regulatory guidelines
Help identify up and downstream controls to help design test scripts for execution
Identify trends and quality testing observations and effectively report summary results to management
Partner with colleagues and stakeholders to ensure testing practices and documentation are consistent
Bachelors degree required
Minimum 3 years of relevant compliance, operations, financial product or audit experience in a combined business, operations and technology environment within the Financial Services industry
1-2 years of quality testing experience in a financial services environment
Proven experience assisting in the design of quality testing scripts
Inquisitive and proactive in identifying risks and proposing solutions
Excellent analytical, written and verbal communication skills with a proven ability to explain QT review findings to both senior managers and analysts
Adapt to a rapidly changing environment and multi-tasking

Regulatory Reporting Lead Analyst Resume Examples & Samples

Oversee the production and delivery of daily, weekly, monthly & quarterly statistical/regulatory reporting returns, which detail important aspects of the bank’s financials and therefore provide an invaluable source of information to Central Banks and other policymakers
Team management responsibility for a team of analysts, including recruitment, goal setting, performance evaluation
Ongoing review and development of current processes to increase efficiency
Liaise with multiple departments of the appropriate countries (including Financial Control, Treasury and Operations) to resolve issues
Deep involvement in new system / process implementations related to Regulatory reporting requirements
Prepare and update procedures for all returns as required
Provide support to in-country Finance teams on an ad-hoc basis (e.g. audits, regulatory inquiries)
Participate in future process migration activities
University / College degree in finance / accounting
Fluent English language skills in written and spoken
7-8 years of work experience in financial reporting / auditing / accounting roles
IFRS-related experience preferred
Strong planning & organisational skills
Knowledge of capital and financial market products is advantageous
Prior experience in a regulatory or statutory reporting or audit role is an advantage

Operations Regulatory Reporting & Monitoring Associate Resume Examples & Samples

Manage and deliver strategic projects to improve the regulatory reporting infrastructure
Own and develop testing and delivery plans, working closely with the production teams
Ensure effective partnership with the production teams to ensure effective handover of new processes and controls into the live environment
Drive forward solutions to remediate production issues
Experience with regulatory reporting

Regulatory Reporting Systems Analyst Associate Resume Examples & Samples

Gather detailed business functional and non-functional requirements from the users
Detailed analysis of the requirements and clarify requirements
Provide clear and detailed feedback on business requirements doc provided by users
Generate detailed functional specification doc
Perform detailed data analysis by running database queries in Oracle PL/SQL environment
Liaise with development team and provide on-going clarifications
Generate testing plan and test cases
Perform functional SIT
Perform UAT support and ensure user queries are addressed
Monitor test defects and keep the project manager informed of the status
Comply with the JPMC Project Life Cycle and internal processes
Closely track change requests / ad hoc activities and communicate the impact on a timely basis
Must have prior experience working for an investment bank, functioning as a system analyst in technology projects
Minimum of 5-7 years of system analyst experience
Should have hands-on data analysis (database query skills). Being able to understand Oracle stored procedures (no need to write any programs)
Strong communication skills in English – verbal and written
Good co-ordination skills to work in partnership with users, project manager and developers
Thorough understanding of SDLC phases and essential documentation in each of these steps
Degree from reputed University with good academic record
Experience in one of these: Regulatory reporting, Finance, Risk or data warehousing

Regulatory Reporting Officer Funds Resume Examples & Samples

Client facing project calls
Updating and monitoring progress of the regulatory production calendar for clients
Preparation and review of regulatory calculations for each client
Maintaining a supportive and service role to internal teams and the client
Maintaining and updating as appropriate client files and customisations
Preparation and review of client regulatory reports, updates etc
Monitoring of regulatory filings

Operations Risk & Control Regulatory Reporting Resume Examples & Samples

Global responsibility for DOI production support which is responsible for monitoring regulatory and business changes globally, evaluating impact and ensuring change requirements are defined and the change portfolio managed appropriately
Management support for the oversight of EMEA daily DOI production processes which includes review and sign-off of daily reporting deliverables
Experience in designing and managing regulatory or risk functions in Financial Services/Banking industry
Strong functional knowledge of operations and trade life cycle
Excellent management, leadership, and communication skills
Strong experience with MS Office (Excel, Power Point, Visio and Access)
Strong functional knowledge of disclosure of interest regulations
Familiarity with Morgan Stanley Operations systems, processes, and framework

Operations Risk & Control Emir Regulatory Reporting Resume Examples & Samples

Reports in to EMIR manager
Performs daily resolution of EMIR exceptions, review of controls, response to client queries and resolution of warning, matching, pairing exceptions
Represent team to internal and external stakeholders including Change The Bank (CTB), Vendors and Clients
Conduct daily monitoring of exception and control reports relating to the accurate and timely reporting of transactions to the regulator. The individual will be required to work with all stakeholders (IT Line operations and Compliance) to investigate the root cause of the exceptions and undertake the appropriate remediation steps
Partner with IT, Operations and Compliance to assist in the delivery of new and enhanced systematic controls that address control weaknesses identified from periodic system and control reviews
Provide support to business process and system changes for transaction reporting as a result of regulatory changes and ensure that new product approvals that may impact transaction reporting are tested
Partner with Operations line to provide guidance and support for transaction reporting
Help with the delivery of training on the transaction reporting system and documenting and maintaining a standard set of policies and procedures
Monitoring transaction reports and exceptions and ensuring that product areas are actively resolving outstanding exceptions for their areas on a daily basis
Follow up on issues or questions submitted by Operations teams and seek guidance from Compliance where required
Escalate issues and control breakdowns to Operations management, Compliance and IT where appropriate
Strong analytical skills, ability to extract key information and summarise data effectively
Good communication skills at all levels and strong organisational ability
Ability to successfully meet deliverables within tight deadlines
Client focus with drive to manage expectations and deliver excellent client service
Regulatory reporting experience and knowledge of EMIR transaction Reporting
Control & risk focused, with experience in operational risk
Ability to understand issues and close queries
Knowledge of Listed and OTC Derivatives products and systems

Pb Wm IT Head of Regulatory Reporting Resume Examples & Samples

New role, reporting in to Head of PB WM IT APAC, having the accountability and responsibility for tax, data and regulatory-reporting for PB WM IT APAC
Ensure PB WM IT APAC compliance with all technology-related regulatory requirements, in partnership with country & function leads
Oversee and drive implementation for tax, data and regulatory-reporting topics for PB WM IT APAC
Drive and Align data strategy and enfore data consistency related to regulatory reporting
Responsible for data platform and enabling required services to platform and various channels such as digital, statement and portals
Drive compliance with new technology risk management, incident reporting & outsourcing regulations
Monitor ongoing operational effectiveness of key technology-related regulatory controls and associated remediation activities
Provide expert QA oversight for all responses to regulatory enquiries and filing of IT incident reports across the region
Co-ordinate ad hoc reviews / impact assessments for areas of heightened regulatory awareness
Represent PB WM IT APAC in cross-regional governance regulatory reporting and tax related forums
Develop relationships with peers within and outside the bank and build knowledge of wider market practice

Ab Initio ETL Lead Local Regulatory Reporting Resume Examples & Samples

10+ years as Ab Initio specialist/architect role with experience on implementing large & complex data warehouse projects in financial service area
Exposure to Local Reg. Reporting domain knowledge is required
Strong knowledge and hands-on experience in Ab Initio PDL, Micro-graph; Extensive knowledge in Plan>It, BRE and ACE
Experience in Relational database and SQL development, in any or all of following databases: Teradata, Netezza and Oracle
Strong analytical debugging skills; monitor and analyze production jobs for performance tuning and process optimization
Familiar with Ab Initio deployment process, release and packaging support, Ab Initio branching and merging strategies
Strong knowledge and experience in creating Ab Initio projects and sandboxes in DEV environments, common sandbox management in DEVELOPMENT environment, configuration and support of multiple test environments
Strong communication skills, quick learner, team player
Must possess excellent analytical background and skill sets to understand versatile regulatory reporting and application of data
Possess strong team building, planning and work skills driven by process improvement
Experience working with a variety of risk or financial platforms, previous experience with Citi systems desirable

Financial Holding Company Regulatory Reporting Resume Examples & Samples

Assisting in the management of the Treasury International Capital reporting for the FHC, Morgan Stanley & Co. LLC (broker / dealer and main operating company of Morgan Stanley) and our main banking entity Morgan Stanley Bank, NA
Preparation of the FHC Country Exposure Report (FFIEC 009/009a) and the filing to the Federal Reserve Bank of NY (FED)
Assisting in the management of several other filings including Annual Report of US Ownership of Foreign Securities (SHCA) and Annual Report of Foreign Holdings of US Securities (SHLA)
Assist is reviewing New Product Approvals (NPAs)
Integrate with team and assume responsibility for certain parts of the FRY9c filing (FHC Consolidated Financial Statements filed with the FED). Backup the staff currently responsible for this filing
Establishing and maintaining internal controls over regulatory reporting
Prepare and present analytics and variance analyses for quarterly due diligence with Senior Management and functional partners
Periodic review of policies and procedures to ensure these are up-to-date and of good quality
Develop, monitor and deliver metrics / key risk indicators (KRIs) to management
BS/BA in Accounting and 8+ years relevant Regulatory Reporting or closely related industry experience
Big 4 accounting and CPA/MBA preferred
Ability to manage people, be highly self-motivated and promote teamwork
Excellent analytical, quantitative and problem solving skills including the ability to renovate existing processes
Ability to interact well with others at all levels
Ability to handle and resolve recurring challenges and problems

Operations Regulatory Reporting & Monitoring Analyst Bengaluru Resume Examples & Samples

Develop expert knowledge in regulatory requirements, processes and systems for a number of transaction and position based regulatory reports
Perform impact assessments on these reports for new markets, new products, business reorganisations, system changes and new/changed regulations
Improve current processes, procedures and reports including automation of manual processes
Define and produce comprehensive project documentation in support of strategic initiatives and change management including: business/functional requirement documents, process flow diagrams and comprehensive data analysis
Produce test scripts and co-ordinate / participate in testing activities with Operations and Technology
Work with Legal, Compliance, Technology, other Operations groups and various Business units to manage change programs and issue resolution for these reports

Bank Regulatory Reporting Controller Resume Examples & Samples

7+ years of experience in a position of increasing responsibility within Finance in a Global Investment Bank
Knowledge of Bank Regulatory Reporting requirements (i.e. FFIEC 031, Y9-C, FR2900, FR2644, 002/S, SLT, SHLA)
Strong background and understanding of US GAAP

Regulatory Reporting Officer Resume Examples & Samples

Bachelor’s degree in Accounting, Finance, or related fields
Direct experience is an advantage
Service-minded attitude
Have a good team work spirit
Be able to work under pressure and independently with minimum supervision

Business Analyst Data Warehouse Regulatory Reporting Resume Examples & Samples

Gather, review, analyze, validate, and map system data into to meet reporting and analytical business needs
Work with ETL programmers to test and validate data attributes and with other business analysts to assure data is consistent
Work with lending source system business analysts to understand system nuances and resolve data issues
Work with reporting teams to explain the data to customers and communicate the scope and impact of changes
Take ownership of issues through resolution including close coordination between business analysts
Create and maintain clean, clear and accurate metadata
Advanced analysts also lead projects and teams to develop solutions for our customers working with the modeling and architecture team and business analysts across multiple departments
Bachelor's in Computer Science, Information Systems, Business Administration or other related field
4+ years experience in business analysis, operations support, software development, project management, or other directly related experience; a combination of education and experience may meet requirements
The preferred candidate will have a working knowledge of lending systems, loan origination systems, the banking industry, systems analysis procedures, project techniques and practices
Strong SQL skills preferred
Requires strong analytical, attention to detail, organizational and problem solving skills as well as the ability to effectively work with management, peers, and staff
Candidate must be able to estimate scope and schedule required and meet deadlines
Strong presentation and communication skills, both written and verbal
Strong testing skills

Associate, Consolidated Regulatory Reporting Resume Examples & Samples

Prepare and provide analysis and compliance to the quarterly Call and FR Y-9C schedules RC-H, RC-T and HC-H which includes LOB cuts
End-to-end FDIC Modernization reconciliation on a quarterly basis. This entails compiling accurate LOB cuts of both domestic and overseas deposits, distribution to LOB controllers, answering LOB questions, and assisting in the LOB recon where necessary
Responsible for the end-to-end FDIC Assessable Deposit Review Guide compliance on a quarterly basis
Help to facilitate the movement of production related work off-shore
Ensure all reports filed are timely and accurate, in agreement with other externally reported information, and reconciled to the Firm’s underlying financial statements
Partner with various reporting teams on process improvement and overall strategic agenda
Participate on project teams and oversee special projects as needed including training
Candidate must have strong problem-solving skills
Ability to work on multiple priorities at the same time within tight deadlines
Strong communications skills – significant interaction with reporting team, LoBs, internal/external audit, regulators
Understanding of core accounting concepts and application
Knowledge of regulatory reporting requirements
Detail oriented with above average quantitative and analytical skills
Above average PC skills – especially in Access, Excel, and PowerPoint
Product knowledge with an understanding of how they are reported in our various reports is a plus

Accountant Iv-regulatory Reporting Resume Examples & Samples

Prepares quarterly and annual financial holding company Federal Reserve and FFIEC reports as required
Interprets regulatory reporting instructions
Stays informed of regulatory changes and implements processes to gather and report the data
Analyzes reporting requirements, data availability, and coordinates with business units to obtain data and prepare submissions
Researches issues regarding application of generally accepted accounting principles (GAAP)
Recommends process improvements to increase efficiency in processing or analyzing financial information
Proactively assumes the lead role in a regulatory reporting project that involves new products, processes, or new reporting requirements
Cites specific GAAP or regulatory literature in analysis of complex accounting and/or regulatory issues and in documenting a plan of action
Experience with advanced accounting topics such as earnings per share, share-based compensation, derivatives, and foreign currency translation (or relevant experience with other advanced accounting topics)
Takes initiative to drive improvement in existing reporting analysis and processes
Exhibits excellent verbal and written communication skills in order to clearly and concisely present findings and update accounting and regulatory policies and procedures
Financial holding company regulatory reporting requirements
Generally accepted accounting principles (GAAP)
Researching GAAP and regulatory reporting issues
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets and complex databases
Maintain comprehensive knowledge of regulatory reporting requirements for financial holding company
Develop and document processes, procedures, and policies for regulatory reporting
Explain or clarify financial information to all levels of management
Provide a high level of customer service

VP, Financial Control & Regulatory Reporting Resume Examples & Samples

10+ years of experience in the financial services industry (asset management experience preferred)
Demonstrated management experience
MBA or CPA preferred; Series 27 preferred
SAP and BPC experience preferred

Avp-finance Regulatory Reporting Resume Examples & Samples

4+ years of experience in the Banking/Finance industry
Prior experience in US Bank regulatory reporting (Call Report and FR Y-9C)
Experience in investment banking products
MBA Degree
Knowledge of AXIOM

Head-regulatory Reporting Technology Resume Examples & Samples

Lead the technology functions establishment of a new dedicated team to support centralized regulatory operations
Provide overall project and program management for U.S. Regulatory Technology
Good understanding of capital markets products and business processes
Sound background and experience in basic financial accounting principles and practices of a capital markets firm
Complete understanding of the Project Management Life Cycle and processes to be followed throughout and good understanding of Agile
Excellent communication and influencing skills, able to communicate effectively at the MD level
Excellent analysis and problem solving skills
Superb organisational skills and able to produce project and program artefacts of the highest quality
Able to understand, explain and present complex technical ideas to both technical and non-technical audiences at all levels in a persuasive and convincing manner
Able to analyse and explain the risks involved in deploying technology solutions to solve business or organizational problems
Promotes effective teamwork with open communication channels
Proactive and sophisticated management of key stakeholders
Able to define and manage plans taking end to end ownership and full accountability for meeting project delivery dates
LI-AC

Regulatory Reporting Development Lead Resume Examples & Samples

Developing, leading, managing and motivating a team of application developers (both employees and consultants) to meet team and project goals
Coach and mentor team members on technical development
Active participation in SDLC, particularly on design / code / testing / implementation review and signoff
Provide guidance on issue resolution and production support at Level 3
Develop high level project plan and allocation developer resources for project execution
Develop development standards and guidelines for the development team to achieve efficiency improvement and reduce risks
Act as Primary Face-off for key stakeholders in Shanghai
Coordinate with regional and global teams on deployment and firm-wide initiatives
Represent Asia in the Global Axiom Governance Committee to drive global initiatives
Communicate with PMO on project related issues, statuses and metrics
6~8 years of solid hands-on experience in software development for n-tier architecture in Linux / Windows
Previous experience in leading development team is essential
Excellent programming skills using Java & Unix Shell Scripting
Excellent relational database skills on Sybase / DB2
Experience on Javascript / XML / SOAP is preferred but not essential
Experience in full SDLC, particularly in design and testing
Strong technical, analytical and problem solving skills
Strong leadership, drive, interpersonal skills and ability to motivate others
Result-oriented with professional ownership, follow-through to resolution of issues
A strong can-do attitude
Strong time management skills and capable of prioritizing project tasks to meet shifting business demand
Comfortable with uncertainty, be able to make sensible judgment based on limited information
Pursuit for perfect delivery quality in very low error-tolerance environment
Ability to work with individuals at all levels within the Firm and from various business areas
Highly organized, self motivated and proactive with capability to work with minimal supervision
Creative and flexible while observing policies, rules and standards
Good communication skills. Fluent in written and verbal communication
Creative and flexible while observing rules and standards

Regulatory Reporting & Tax Analyst Resume Examples & Samples

Minimum of 5 years working experience in accounting or a related field
Accounting qualification will be an added advantage
Considerably numerate
Ability to produce high quality output under pressure
Bachelor’s degree in any discipline
Master’s degree or professional qualification (ICAN, ACCA etc.) will be an added advantage

Associate / VP of BD Regulatory Reporting Resume Examples & Samples

3+ years of Public Accounting and/or Private Industry experience
Experience with Brokerage Regulatory Reporting, Focus, 15C3-1 & 3, and Monthly FOCUS filings under 15c3-1
Understanding of the 17a5 requirements for Internal Control Over Compliance (ICOC)
Experience in Fed filings such as TIC and BEA

Regulatory Reporting Solutions Architect Resume Examples & Samples

Act as a lead solution architect to existing reporting systems and teams
Work within IT and with business stakeholders to ensure that systems are appropriately designed, with clear separation of purpose, meet performance expectations and are supportable
Lead the requirements gathering and analytical efforts related to Regulatory Reporting and Financial Control initiatives
Work closely with business stakeholders, IT team(s) and enterprise architects in defining the future state solutions
Work on new regulatory requirements - architect how the new requirements should be serviced and which systems should be involved
Ensure optimal tools and techniques are employed to convert business requirements and logical models into a technical application design
Act in a lead capacity in re-designing the regulatory reporting system architecture to ensure that RBC has a best of breed set of solutions for current and future reporting needs
Ensure business analysis activities are in line with enterprise wide best practise standards
Work closely with key business stakeholders in assessing and establishing annual book of work
Review application portfolio to identify potential redundancies and opportunities for synergies
Establish and maintain strong business partnership with the Finance stakeholders
Experience (10+ years) in IT solution delivery on Regulatory Reporting systems and processes
Experience (10+ years) in working on General Ledger, Reference Data and Regulatory reporting related IT solutions
Strong, business-quality experience in Finance Change initiatives within Regulatory Reporting environments
Strong knowledge of accounting and Finance within investment banking
Complex program & portfolio management
In depth knowledge and experience of the full project lifecycle
Strong stakeholder interaction and management
Robust personnel management skills and experience
Established track record of successful change implementations
Financial markets cross function experience
Experience of leading global teams

Broker Dealer Regulatory Reporting Group Manager Resume Examples & Samples

Ensuring compliance with SEC Rules 15c3-1 (Net Capital) and 15c3-3 (Customer Reserve Computation)
Overseeing the preparation of the monthly Focus report
Monitoring and managing net capital on a daily basis
Reporting financial results to senior management
Overseeing the preparation of the customer reserve computation
Liaison with examiners and auditors during examinations and audits
Keeping abreast of new regulatory requirements and industry issues, providing rule interpretations to various departments throughout the organization, reviewing new business proposals
10 plus years significant experience with the regulatory requirements related to Broker Dealer Regulatory Reporting
BA/BS in a financial discipline required
Self-driven interest in the industry; strong appetite to be aware of new developments and requirements
Project leadership, presence and ability to build relationships across functions at all levels of the organization
Technology oriented person who seeks efficient and automated solutions
Proven track record of career success
Prior management experience required

Regulatory Reporting Policy Consultant Resume Examples & Samples

Monitor activities of various bank regulatory agencies with regard to financial reporting changes. Prepare communications to the BB&T Chief Financial Officer (CFO), Corporate Controller, and other senior BB&T executives, to describe the impact of the proposed changes
Oversee the design and implementation of process changes and internal controls for new regulatory reporting requirements and monitor existing guidelines for financial regulatory reports to ensure the Corporation and relevant subsidiaries remain in compliance with federal, FDIC and state reporting requirements
Assist lines of business (LOBs) in understanding regulatory reporting requirements and designing processes to meet the regulatory reporting needs
Participate in, and provide the CFO and Corporate Controller updates from, industry regulatory reporting groups, including The Clearing House (TCH) and American Bankers Association (ABA) that monitor activities impacting regulatory reporting for the financial services industry
Prepare an analytical review of regulatory reporting at peer institutions to assist with the governance of regulatory filings
Prepare and review financial information required in regulatory applications associated with mergers and acquisitions
Respond to inquiries from regulators and LOBs on accounting and reporting questions and participate in gathering information and responses to regulatory exams
Bachelor's degree in Accounting or Finance, or equivalent education and related training
Ten years of relevant banking or financial reporting experience, including preparing and reviewing financial reports
Five years of experience in regulatory compliance in accounting or financial reporting
Advanced working knowledge of accounting principles and regulatory compliance
Strong hands-on technical accounting background
Outstanding work ethic and ability to multi-task
Demonstrated ability and willingness to work independently and in conjunction with small groups
Demonstrated proficiency in computer applications, such as Microsoft Office products, with emphasis on spreadsheet, word processing and database software
Excellent problem-solving ability
Excellent analytical and decision-making skills
Able to adjust work schedule and priorities to meet deadlines

Corporate Regulatory Reporting & Analysis Resume Examples & Samples

BA degree required and minimum 10+ years of relevant experience
Excellent communication skills (written and spoken)
Demonstrated credibility in managing a business or business function
Ability to work with details while not sacrificing the overall business big picture
Ability to identify and implement best-practices operations
Strategic with good business acumen
Team orientated, with the ability to fit into a small, focused and highly successful management team
Ability to forge strong internal relationships across a broad range of functions
Ability to influence and drive results
Hands-on and entrepreneurial who enjoys building businesses
Self-motivated, tenacious and able to work with high degree of independence
Passion in striving for business excellence
High ethical standards and strong control mindset
Highly motivated with excellent time management & prioritization skills
Ability to analyze large data sets and present conclusions concisely
Effective presentation skills, including to senior and global business heads
Energetic and dynamic in style

Senior Manager Corporate Accounting & Regulatory Reporting Resume Examples & Samples

Manage the accounting functions, financial and regulatory reporting for legal entities and business lines under Canadian Wealth Management Distribution by
Managing the monthly close process for ST, PIC, HWASI, HWIAL, Institutional and WaterStreet
Ensuring the integrity and reliability of the financial information by managing the daily accounting operations including the intercompany funds transfers between H.O. and the branches, monthly fee accrual process, expense monitoring, and various financial analysis such as income and expense trending and balance sheet review
Reviewing the monthly and quarterly legal entity financial statements for ST, HWASI and HWIAL, as well as conducting the necessary analysis and significant variance explanations
Actively participating in the planning and completion of the annual audit of ST and HWASI by KPMG as well as assisting in managing the completion of the audited financial statements, including notes and disclosures
Ensuring the completion and timely filing of GST/HST returns as well as its multi-jurisdictional corporate income and capital tax returns, including regular tax instalments
Managing the preparation and submission of HWASI’s Form 1 to MFDA and OSC
Preparing the loan loss provision entries for Private Banking and monitoring of the changes in the Problem Loan Reporting System (PLRS)
Reviewing the monthly tax provisions for ST, HWASI and HWIAL
Reviewing the EGL adjustment entries and maintaining the control list for the department’s EGL entries
Actively participate or act as Lead during the management of initiatives or projects resulting from new regulatory requirements or accounting standards and provide on-going support to ensure that relevant business lines are in compliance by
Managing the calculation of any impact to profit and loss, and ensuring the accurate and timely preparation and analysis of the income and investment reports to be submitted to the Bank’s Accounting Policy and Procedures (APP)
Becoming the subject matter expert in terms of communicating the new regulations or accounting standards and their impact to stakeholders such as the business heads and various key members of the Management team
Presenting recommendations on how to transition the department and/or business to ensure compliance to the regulatory and accounting standard changes
Overseeing the documentation of new policies and procedures supporting and resulting from new regulations or accounting standards
Provides strong human resource management by
Ensuring expectations including accountabilities, objectives and goals are effectively negotiated, communicated and monitored for direct report(s)
Ensuring employee development plans are in place and completing semi-annual and annual performance reviews for all direct report(s)
Ensuring there is fair and equitable treatment of employees in keeping with the bank’s guidelines and principles
Ensuring that performance/conduct issues are effectively dealt with promptly and professionally with focus on respect
Professional accounting designation required – CPA, CA designation preferred
5 years of post-qualification Financial Institution experience
Project management experience (PM designation or equivalent is also desired)
Knowledgeable and experienced in financial accounting, reporting and IFRS
Substantial experience and familiarity with the Bank’s accounting systems and procedures
Advanced knowledge of the accounting treatment for securities and mutual fund industry
The incumbent must be a self-starter, well organized with strong problem solving skills and the ability to multi-task and meet tight deadlines
Strong leadership and managerial skills are needed
Advanced interpersonal skills are important as the incumbent must be able to work with various levels of Management and Bank employees as well as external contacts
Strong verbal and written communication skills are needed
Adept at using various PC software applications (spreadsheet, word processing, database, etc.), including PeopleSoft, Great Plains Dynamics and SmartStream accounting applications
A team player, willing to assist other members of the department and the organization in order to meet deadlines and deliverables with varying degree of priorities and complexities
The incumbent is expected to work long hours whenever necessary to be able to meet the department’s deliverables

Regulatory Reporting Officer Resume Examples & Samples

3+ years of financial experience, background of local regulatory reporting practice is preferable
Bachelor and above, finance/accounting major preferable
ACCA qualification is a plus
Strong verbal and written communication in both local & English
Strong computer application skills (especially Excel)
Strong analytical, communication and interpersonal
A proactive, self-motivated and dynamic person with highest standard of integrity
Ability to interface and partner with business/ functions across sectors
Capability of working under pressure

Insurance Accounting & Regulatory Reporting Resume Examples & Samples

Applies local GAAP, STAT, IFRS, and other regulatory accounting treatment to complex investment accounting transactions, and demonstrates understanding of key implications. Work with clients to explain how such treatment impacts their income statement and/or balance sheet
Supports and researches various new regulatory investment accounting and reporting related pronouncements
Ensuring JPM’s infrastructure is properly set up to support insurance clients and prospects (globally) for a wide variety of asset types, including investment accounting regulatory reporting compliance
Act as primary liaison with other parts of the organization including: operations, client account management, client reporting, and portfolio management
Support key audit initiatives with consistent documentation within JPM
Able to quickly form global relationships and develop a key network of contacts to source information both internally and externally
Must be comfortable initiating projects independently across a broad constituency in order to effect change
Knowledge of Statutory schedules (B, D, BA, E, DA), and Solvency 2 initiatives, and templates
Minimum of 3 years’ experience working with multiple investment types and/or regulatory reporting/filings
Undergraduate degree in a finance or accounting (or work experience that demonstrates the appropriate skills), CFA or CPA is a plus, but not required
Ability to work under tight deadlines
Knowledge of multiple asset classifications and types, including derivatives, fixed income, loan backed and structured securities, private equity, bank loans, and limited partnerships
Experience including work in an accounting, financial reporting role of and insurance (Life and/or PC), or financial services company that services insurance companies
Ability to articulate complex investment accounting treatments in a clear and concise manner and comfort in interacting with clients during meetings and over the phone
Solid knowledge of balance sheet and income statement components
Strong written communication skills, including the ability to prepare high quality presentation materials for clients

Legal Entity Controller Regulatory Reporting Resume Examples & Samples

Monitor compliance with various regulatory limits
Maintain and enhance internal controls on the return preparation processes
Participate in ad hoc projects as required

International Regulatory Reporting Projects Resume Examples & Samples

International Regulatory Reporting is rapidly evolving environment with change through mandatory regulatory reporting requirements, application enhancements & technical change, data enrichment and support for JPM line of business development projects
Regulatory Business Analysts are part of the project working group to successfully agree project scope and implement within budget and timelines. The team supports projects for International locations
Establish and maintain an effective communication and engagement model with key contacts with the International Regulatory Reporting Team, Technology and Line of Business teams
Contribute to project scope, approach and timelines, ensuring that International Regulatory landscape is understood and requirements are fully met
Ensure that Business Requirements and testing strategies are clearly documented, communicated, and delivered against Critical Success Criteria
Ensure that Test Environment requirements are clearly articulated and agreed
Ensure issues are raised / escalated and driven through to resolution
Ensure Risks & dependencies are highlighted, with mitigation options presented
Draft & delivery Business Requirements and User Test Requirements Documentation for sign off
Plan & Execute User Acceptance Testing including issue investigation & Defect resolution
Draft & deliver User Test Completion Report for sign off
Coordinate sign off’s / approvals
Strong analytical skills, logical thinker with strong attention to detail
Excellent written skills with clear, concise & logical documentation
Knowledge of Regulatory Reporting Rules preferred
Knowledge and experience regulatory reporting packages preferred
Knowledge of financial markets and instruments
Advanced Excel and /or Access skills with ability to work with, and use, large amounts of data in organized and effective manner
Experience of User testing planning & execution. ALM knowledge a bonus
An understanding and an appreciation of the Project Life Cycle
Excellent organization & planning skills
Issue & risk management and resolution skills
Good communication, negotiation and relationship management skills
Creative problem solving and business process reengineering skills
Team player with ability work with colleagues in a collaborative manner, as well as being able to proactively progress multiple tasks independently
Reasoned decision taker
Ability to articulate risks V’s rewards surrounding project dynamics
ACCA / ACA /CIMA qualification preferred

Regulatory Reporting Supervisor Resume Examples & Samples

Minimum 5 years of SEC or regulatory reporting experience
Minimum 4 years Excel experience using pivots and advanced formulas
Minimum 1 year supervisory experience
LI-TH1

Cib-applications Developer Regulatory Reporting Resume Examples & Samples

Responsible for system support on daily business activities complying with corporate policies and procedures
Be a key point of contact for regional/corporate applications currently in place in Chile office
Participate in major system implementations to support IBTech strategies
System development for local reporting. Build reports for local regulators, corporate and management in Chile using regional standards
To generate ideas to leverage from other implementations and platforms
2 years at least of experience in similar positions
Knowledge in ETL technologies and Business Objects
Knowledge in Oracle version 10 or superior. Sybase and SQL Server are desirable
Knowledge in databases programming languages as PL/SQL, SQL Transact is a plus
Banking experience is desirable
English written and spoken
Capacity of teamwork
Capacity of execution
Aptitude to work under pressure
Must be an autonomous person, with initiative and energetic
Person skills of negotiation and flexibility
Must be analytical and with capacity to learn other technical tools

Regulatory Reporting It-business Analyst Resume Examples & Samples

Working with Compliance or Operations users to understand the business requirements
Understanding the reporting regulations, internal data models and analyzing the impact of upstream or regulation changes on the application
Facilitate the discussion on requirements with various stakeholders and achieve an agreement on requirements which are realistic
Coming up with Business Requirement and Functional requirement specifications for large projects
Documenting the requirements as User Stories and coming up with Acceptance criteria in collaboration with development team
Assist development and QA teams in the development phases through details gathering and finding answers to questions
Facilitate analysis of new business flows and trading system / booking system changes and smaller adhoc user requests
Improve the business knowledge of the team by taking regular trainings
Proven Business Analysis and documentation experience in investment banking domain for minimum 2-3 years
Experience in investment banking / sales and trading domain (Equities/LD/OTC/FID)
Basic knowledge of RDBMS concepts
Ability to write simple SQL queries
Exposure to Agile development concepts would be a plus
Ability to multi-task and work against deadlines/priorities
Strong sense of ownership and desire to take on an expanded role over time
Capability to work with a Global team

Senior Financial Accountant & Regulatory Reporting Position Finanz Resume Examples & Samples

2-5 years accounting, financial or auditing experience
Graduate university degree in Accounting, Controlling, Finance or Business
Experience of banking financial and regulatory reporting, including Basel 3 deliverables
Exposure to regulatory reporting IT tools (FRS or Finarch)
IFRS and/or US GAAP exposure
Focused on quality and timely delivery
Solid organization, project and planning skills
Solution and change oriented
Ability to work in a matrix structure
International outlook and experience
English & German fluent

100

Regulatory Reporting Governance Analyst Resume Examples & Samples

Support the overall Regulatory Reporting Governance function in Finance Controllership as the second line of defense by providing an independent assessment of the regulatory reports production cycle, and enhancing regulatory reporting environment risk awareness
Assessing the quality of the regulatory reporting production process utilizing a risk based testing approach
Maintaining/enhancing control and oversight environment including deep dive quality reviews and validation of the Regulatory Reports
Assisting key stakeholders in remediating findings and gaps identified during the Regulatory Reporting Governance process
Collaborating with report owners and data providers to formulate remediating steps that will enhance the control environment and help develop appropriate and complimentary testing
Responding to and coordinating to ensure the timely closure of Internal Audit regulatory issues & Regulator exceptions identified during examinations
Assisting department head with training and developmental needs to foster an environment of regulatory awareness and ensure regulatory compliance and best practices
Assist in building a wider awareness of regulatory change management expectation across the firm by proactively engaging business and other shared functions on regulatory related issues
Assist with developing written reports of findings and communicating within established timeframes with senior level management
Assist in managing regulator contacts/liaison and coordinating onsite exams, and related correspondence
Assist department head with the development and roll-out of the firm’s Accountability Policy
Minimum 7 years Financial Accounting experience in Banking or Financial Services industry, including offered products
Understanding of regulatory framework; regulatory interaction, including 1 year of working knowledge of the FR Y-9C, FFIEC 041, FR 2900 and FR Y-11 regulatory Reports
MBA or Professional Certificate a plus
Audit / oversight experience a plus
Strong knowledge of financial services organization or support, control and regulatory functions,
Ability to lead multiple projects/manage priorities and drive each to completion
Ability to multi-task in a dynamic environment; attention to detail and follow-up
Advance proficiency with Microsoft Office products (Excel, PowerPoint) and systems and analytical tools including Hyperion databases and Oracle discoverer

101

Regulatory Reporting Technology Developer Resume Examples & Samples

Implementation of information and data quality management processes, data stewardship, enterprise metadata management and related programs
Able to interpret business requirements and programming specifications to write Java programs that solve business needs
Work closely with application development teams to address issues relating to application architecture, such as performance or availability, and recommend solutions
Perform product analysis and development tasks of increasingly complex nature which may require extensive research and analysis
Work independently in the development, testing, implementation and maintenance of complex systems with fast turn-around
Apply innovation, creativity and improvement to development process and implement process and procedural improvements
Provide adequate and proactive support for various applications
Ensure effective, appropriate and efficient change management processes are in place with respect to upstream a partners that provide data
Partner with IT QA to ensure comprehensive SIT
Current hands-on experience with implementation of large strategic platform using java or similar technologies
Experience with Enterprise scale integration designs and development with a variety of interface partners (public and private sector) and methods (REST, Enterprise Service Bus, Secure FTP, etc.)
Familiarity with testing frameworks (JUnit/TestNG) and concepts (Test Driven Development, Regression and Parametric testing)
Experience on developing software in Agile environment
Able to establish and maintain strong working relationship across relevant cross LOB Technology, Operations Business and Compliance teams
Must be well organized and self-motivated and be able to work with minimal supervision
Must exhibit the ability to work well with senior technical leads, business analysts, peer developers and junior developers
Should be able to work well under pressure and manage multiple tasks efficiently

102

Regulatory Reporting Technology Bigdata Developer Resume Examples & Samples

Participate in the conceptual phases of identifying and solving business problems and initiatives
Work with other architects to maintain overall technology portfolio with supporting standards and guidelines
Provide detailed analysis of problems; prepare detailed design documents with recommendations
Stay current with technology and industry best practices to ensure proper utilization of these in software development
Work on multiple projects utilizing and leading global/offshore teams
Assist in defining technology strategy, application architecture and prioritizations for large programs such as CAT
Generate and synthesizes the technology function’s input to impact assessments of new or changed regulations
Ensure deployment of changes is in accordance with RBC’s change management policies
8+ years’ experience working with Java and relevant technologies
Experience with Hadoop and other Industry BigData Frameworks
Experience with Synchronous and asynchronous system integration approaches, e.g., message queues, Publish /Subscribe, Request/Response, etc
Experience with performance tuning, scalability and optimization strategies
Strong knowledge of various configuration/source code management tools (SVN, Maven, Git)
Expertise with Core Java, Generics, Collections, Concurrency, Sockets, RMI, Gradle, JDBC, JMS, SOAP, JNI, Design Patterns
Familiarity with rules engine (DROOLS)
Ability to operate effectively in a matrix management environment
Experience with regulatory reporting and/or financial/brokerage industry is preferred

103

Regulatory Reporting Technology Architect Resume Examples & Samples

As Senior Data Service Architect you will be responsible for leading the technical design, recommendation and implementation for data warehouse technology and solutions serving Regulatory and Compliance needs
The Data Service Architect will focus on Core Database and Business Intelligence and must apply analysis skills and experience in principles of installation, configuration, availability, recoverability, scalability, performance tuning, etc. to define appropriate customer solutions
Apply knowledge and experience in designing, planning, building, and deploying (release, maintenance, monitoring) solutions leveraging latest SDLC principles
Bring Enterprise Architecture knowledge into project teams while exposing project-related technical issues to the management
Create architecture specifications and other design artifacts representing the approach and effect of new proposed solutions
Work with other architects/developers to maintain overall technology portfolio with supporting standards and guidelines
Work closely with application development teams to address issues relating to application architecture, such as performance or availability, and recommend solutions
Implementation of information and data quality management processes, data stewardship, enterprise metadata management and related programs
Assist in defining technology strategy, application architecture and prioritizations for large programs such as CAT
Generate and synthesizes the technology function’s input to impact assessments of new or changed regulations
Lead the technology functions establishment of a new dedicated team to support centralized regulatory operations
Ensure effective, appropriate and efficient change management processes are in place with respect to upstream a partners that provide data
Partner with IT QA to ensure comprehensive SIT
Ensure deployment of changes is in accordance with RBC’s change management policies
Monitor and addresses the currency of the hardware and infrastructure software stack to ensure plans and funding are in place for needed upgrades in advance of risks of out of support conditions
5+ years’ experience in a practicing solution architect function in the implementation of structured design and architecture processes in a corporate environment
5+ years’ experience leading in the design and implementation of Development, Application, and Data Architectures
7+ years’ experience in full development life cycle and significant experience in delivering applications and architecture services in a production environment
In addition to years’ experience, the senior role means an increased level of autonomy is expected as well as expanded/multi-discipline skills are acquired and demonstrated and judgment and decision making are more critical skills, and one would be expected to handle and seek out more complex challenges, assignments, and initiatives
Current hands-on experience with implementation of large database and tier-1 and tier-2 type solutions
Deployment of a large distributed Big Data Application preferred
Experience with Hadoop and other Industry BigData Frameworkspreferred
Broad and deep technology knowledge and the ability to implement end-to-end technical solutions to our customers’ business problems
Enterprise scale integration designs and architecture with a variety of interface partners (public and private sector) and methods (REST, Enterprise Service Bus, Secure FTP, etc.)
Experience on developing software in Agile environment
Able to understand, explain and present complex technical ideas to both technical and non-technical audiences at all levels in a persuasive and convincing manner
Able to analyse and explain the risks involved in deploying technology solutions to solve business or organizational problems
Ability to operate effectively in a matrix management environment
Superb organisational skills and able to produce project and program artefacts of the highest quality
Promotes effective teamwork with open communication channels
Able to establish and maintain strong working relationship across relevant cross LOB Technology, Operations Business and Compliance teams

104

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

Review/Monitor JPMS LLC VAR on a daily Basis
Liaise with individual business lines to ensure Risk is being properly managed
Monthly preparation of FOCUS report
Accounting / Finance background – preferable with SEC 15c3-1 experience - with sound technical and business knowledge, with at least 2 years relevant working experience
Good knowledge of VAR based capital concepts
Good knowledge of US GAAP and internal controls
Experience dealing with various regulators and external/internal auditors
Enthusiastic, highly motivated, excellent analytical, interpersonal, communication and influencing skills
Attention to details
Strong organizational and time management skills; able to work under pressure and multiple deliverables with competing deadlines

105

Project Coordinator / Regulatory Reporting Resume Examples & Samples

Perform an assurance review of returns within the scope of RWA and Regulatory requirements
Perform consistency reviews with other selected returns where the data is expected to have a close relationship with RWA and Regulatory reported data (FinRep, Credit Risk returns, Liquidity Reporting, Statistical Reporting)
Support re-design of system and business processes to support an improved control environment
Track progress of project - responsible for liaising with multiple bankwide stakeholders
Good understanding of product accounting and reporting
Good understanding of financial and/or regulatory reporting requiremnts
Understanding of and exposure to bank architecture and data reporting flows
Experience working as a PMO/Project coordinator/PMO analyst OR working in conjunction with large scale projects
Ability to communicate with all levels of staff on complex issues.Previous exposure to basel is desirable

106

VP-bank Regulatory Reporting Resume Examples & Samples

7-10 years of experience with a combination of financial services and Big 4 accounting firm exposure
Working knowledge of key financial and regulatory reporting risks
Strong understanding of banking and capital markets products and key banking regulations
Demonstrable leadership skills
Regulatory Reporting knowledge of reports and schedules

107

Finance Regulatory Reporting Resume Examples & Samples

General Ledger Control and maintain data integrity
Implement strong controls around Financials
Ensure accurate and timely GL Month end close
Perform Balance Sheet substantiation
Participation in other Finance projects, ie Regulatory Reporting automation, Insight
Provide impact analysis on new product / new system assessments
Identify opportunities and implement solutions on regulatory reporting challenges

108

Cass Officer & Head of Regulatory Reporting Resume Examples & Samples

Oversee the operational effectiveness of that firm’s systems and controls that are designed to achieve compliance with CASS
Reporting to the firm’s governing body in respect of that oversight; and
Complete and submit the Client Money and Asset Return (CMAR) to the FCA in line with their rules (SUP 16.14)
Chair CASS Committee and report to the appropriate committees/boards in respect of the CASS oversight
Oversight of operational compliance with CASS in Asset Management International
Ensure all procedures for CASS are fully documented and reviewed on a frequent basis (at least annually)
Responsible for all regulatory reporting as it relates to the MIFID and EMIR and other regulations as they arise from time to time
Member of Asset Management Global International Leadership Team (GILT)
Promote corporate values including integrity

109

Finance Controllers LEC Regulatory Reporting Resume Examples & Samples

Preparation of various regulatory reports on monthly, quarterly and annual basis
Liaise extensively with Global Legal Entity Controllers for various firm wide disclosures, to include firm wide financial instrument disclosures for the 10Q/K processes, and Regulatory reporting
Work with the team leader in the assessment of quarterly effectiveness of internal controls and escalate control issues to senior management
Perform ad hoc analyses on financial and non-financial attributes of consolidating legal entities for internal and external reporting purposes
Undergraduate degree in Accounting and/or Finance
Minimum 6 months of relevant work experience
Chartered Accountancy is Preferred Accounting, Economics or Finance degree preferred, but not required
Strong analytical / interpersonal skills and a high proficiency with Microsoft software applications
Must demonstrate considerable energy, focus, drive, and a sense of urgency
Ability to manage multiple tasks, operate within deadlines, and escalate when appropriate

110

Senior Java Technical Lead-regulatory Reporting Resume Examples & Samples

People management and leadership (on shore and off shore) and stakeholder management
Technical direction and day to day operational responsibilities
Revision of existing systems / processes with a view to implementing improvements
Provide technical direction to the development team, plan, establish and continually improve the technology, standards, operational procedures and documentation
Strong hands-on development and background experience within a Financial Services organisation preferred
Worked on projects providing computation and analytics using Big Data technologies like Hardoop, Storm, Spark etc
Delivered solutions using latest technologies

111

Manager, Accounting & Regulatory Reporting Resume Examples & Samples

1) Financial Regulatory Reporting
Ensure timely submission of Monthly Financial Report (MFR) to Investment Industry Regulatory Organization of Canada (IIROC). Includes review of MFR working papers and performing monthly variance analysis for consumption by the CFO and Controller
Preparation of quarterly financial statements and variance analysis to be presented by the CFO to the Board of Directors of Dominion Securities
Lead implementation of new regulatory requirements into existing processes and financial models to ensure compliance
Preparation and completion of annual FIB Insurance application (which is a regulatory requirement) for Dominion Securities Inc
Lead coordination efforts and management of external audits
Professional accounting designation (CPA, CA, CMA, CGA )

112

Regulatory Reporting Corep Resume Examples & Samples

Prepare, monitor and control the daily, weekly, monthly and quarterly regulatory reports and prudential returns to ensure that the regulatory requirements are monitored and acted upon as required and escalated where necessary
Preparation and submission of all offshore regulatory reporting to both internal and external stakeholders including the GFSC, EBA (CoRep), FCA/PRA and internal management
Returns include the following:-

113

Senior Accountant Regulatory Reporting Resume Examples & Samples

Prepare daily, weekly, monthly, quarterly and annual required regulatory reports for various external regulators within the required time frame
Maintain effective supporting documentation for all reporting requirements as well as procedure documentation
Ad Hoc Requests – Fulfill all requests from members within the Finance department and other departments as needed

114

Futures Regulatory Reporting Controller Resume Examples & Samples

Compute and file applicable customer segregation reports and investment detail reports with the CFTC
Review exchange margin requirements and the sources of meeting such requirements including the utilization of customer owned securities and the investment of customer funds, along with the Securities Division
Review trends in the FCM business for senior management, including the composition of its customer base, the general trading activity of its customers, the types of markets and products traded by its customers, the volatility and liquidity of the markets and products traded by its customers
Work closely with external regulators and Internal Audit on examinations of GS&Co.’s segregation functions
Work with the Technology Department to enhance controls and streamline processes
Review customer margin and segregation processes with Operations and Legal Departments
Document and maintain policies and procedures for Controller oversight of customer asset protection
Calculate CFTC minimum capital requirements and capital charges related to the listed derivative business
Years of experience—0 to 3
Accounting Background preferred
Strong written and presentation skills
Strong analytical and control mindset

115

Regulatory Reporting Controller Resume Examples & Samples

Provide analytical support for adhoc projects and audit requests
BS/BA in Accounting and 3-5 years relevant Regulatory Reporting or closely related industry experience
Internal Control focus w/ specific experience with reconciliation, attestation, and metrics reporting
Ability to handle and resolve recurring challenges and problems
Regulatory Reporting experience

116

CIB F&BM Regulatory Reporting SME Resume Examples & Samples

Proven program delivery & execution track record within financial services esp. on mandatory regulatory projects. Demonstrated Project Management experience, accounting/local regulatory knowledge would be an advantage
Strong analytical skills, logical thinker with strong attention to detail
Strong understanding and an appreciation of the Project Life Cycle
Excellent written skills with clear, concise & logical documentation. Experienced with planning, organising, and managing multiple priorities, critical paths and risks areas
Experience of User testing planning & execution. Quality Centre knowledge a bonus
Excellent organization & planning skills
Good communication, negotiation and relationship management skills
Creative problem solving and business process reengineering skills
Team player with ability work with colleagues in a collaborative manner, as well as being able to proactively progress multiple tasks independently
Knowledge and experience of industry leading regulatory reporting environment, requirements & vendor packages

117

Regulatory Reporting Executive Resume Examples & Samples

In-depth understanding of BAC financial processes and regulatory reporting requirements
15+ years of relevant finance experience in a large corporate environment
Quickly makes connections across the organization to ensure seamless integration of work streams
Able to manage multiple threads of work and balance/decision competing priorities
Professional executive demeanor; mature and decisive with highly versatile interpersonal skills
Solid track record of successfully managing large teams

118

Regulatory Reporting Resume Examples & Samples

Books & Records
Ensure the accounting control is organized and efficient for Japan managed consolidated subsidiaries
Local Reporting
Produce accurate financial accounts under JGAAP for a regulated broker-dealer and responsible for financial reporting to the respective regulators
US Reporting
As Legal Entity Controller for one material subsidiary and some other non-bank subsidiaries of Financial Holding Company, responsible for US FED reporting
JV Reporting
Responsible for financial reporting to the joint venture partner both under JGAAP and USGAAP
Bilingual in Japanese and English
Strong MS Excel skills
Japanese GAAP broker dealer accounting USGAAP
Solid financial/trading products knowledge
Industry (broker-dealer) experience is preferable
5-10 years of experience in a similar position in the financial services industry

119

Business Analyst for A Regulatory Reporting Ccar Resume Examples & Samples

Apply management methodologies that include project plans, risk mitigation, issue tracking, efficient communication & collaboration plan and status reporting
All deliverables should confirm to quality measures
LI-WR1*

120

Director IB Regulatory Reporting Program Resume Examples & Samples

Lead the Regulatory Reporting TOM program, delivering under extremely tight timelines the operating model, structure, and implementation of Enterprise Data Management policies by
Understand local regulatory laws and associated impacts to the operating model and design
Define high level strategic proposals, implementation strategies and direction, and high-level project plans to meet the imposed timelines
Negotiate with senior management to finalize all recommendations, scope, direction, and project plans
The incumbent is accountable to analyze, define and recommend the new Regulatory Reporting operating models, processes, and structures by
Conducting detailed reviews of activities, dependencies, and outputs
Leading the end to end documentation of processes supporting regulatory reporting across business lines / countries
Leveraging best practices across countries to address inefficiencies in processes, procedures, operational structures and recommending changes and key controls
Identifying process breaks and any weakness in the operating environment, designing to close the gaps
Driving clear separation of execution activities from governance, data quality, and reporting
Evaluating system solutions to support management controls and measurement
Lead the implementation of the project by
Strategically influencing and motivating in-country project teams to maintain the momentum of the project amidst the need to balance project and day-to-day work priorities
Communication key decisions to all levels of management, and ensure that communication flows throughout the organization
Effectively manage project teams by setting performance expectations, monitoring performance, and providing feedback and assistance when required
Providing project over site, ensuring progress against plan is documented and that synergies committed have been realized
Working independently to resolve project issues and escalating them to the VP Regulatory Program Design where appropriate
Effectively manage project budgets
Manage strategic relationships by
Acting as a strategic partner to the senior leadership team in each business area, ensuring challenges and issues are addressed effectively
Working across business lines and countries to secure resources and assistance where required
Working collaboratively with in-country teams and other business units to uncover opportunities in structure and processes
Providing senior leadership with frequent updates
Continually acquire and enhance knowledge of both the Bank’s and the Division's business strategies and policies, risk management practices and methodologies, product offerings, financial markets, financial instruments, regulatory requirements, Back Office processes, and rapidly changing technology to be able to provide effective integration / business solutions and services to the end user business lines
Excellent working knowledge of Project management practices and software
Excellent interpersonal and communication skills, written and verbal for interacting with offices with varying cross cultural and language differences
Thorough knowledge of International Banking and its operations/processes
Strong analytical, innovative and creative design skill
Excellent working knowledge of EXCEL, WORD, PROJECT, POWERPOINT, Access, Lotus notes and other database systems
A thorough understanding of the Bank’s methodology
Fluent in English and Spanish required

121

Broker Dealer Regulatory Reporting Lead Analyst Resume Examples & Samples

Ensure continuous compliance with all financial regulatory reporting requirements relating to SEA Rule 15c3-1 and 15c3-3
Produce certain aspects of the daily and month end Net Capital computation (SEA Rule 15c3-1)
Produce certain aspects of the weekly and month end Customer/PAB reserve formulas (SEA Rule 15c3-3)
Report financial results to senior management for Focus reporting package relating to SEA Rule 15c3-1 and 15c3-3
Assist in the interpretation and the implementation of new rules and regulations (i.e. SEC Amendments, Dodd Frank)
Liaison with regulatory examination teams and auditors during examinations and audits
Participate in special project work
Bachelor’s degree required; Accounting or Finance degree
Must have working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 and SEA Rule 15c3-3
Minimum of 5 years’ experience in SEC broker dealer regulatory capacity
Background in broker dealer audit and examinations is highly preferred
The ideal candidate should be highly motivated and must have excellent oral and written communication skills to effectively communicate throughout the organization
Should have some brokerage operations knowledge and be familiar with stock brokerage accounting
Proficient in Microsoft Office, with strong MS Excel skills required

122

Program Manager for Automation of Local Regulatory Reporting Resume Examples & Samples

Leading, tracking and driving the progress of all work-streams (requirements, development, testing, operational readiness, data readiness etc) of the program
Monitoring actual expenses to ensure the program is managed within budget
Organizing and leading regular discussions with the relevant business, technology and operational groups as required by any work-stream of the program
Working closely with country finance, Development teams, Data Center teams, Operations teams to identify and resolve all project dependencies and risks
10+ years background in Information Technology in the Financial industry, with hands-on IT Project Management experience
High Energy individual with exceptional communication skills
Ability to effortlessly engage with top management

123

Finance Bank Regulatory Reporting Controller Resume Examples & Samples

Be part of the team that is responsible for the accurate and timely reporting of all the bank regulatory reporting within the Americas Regional Finance group
Interact with various teams from the bank regulatory agencies, including report analysts and examiners
Manage relationship with colleagues in the financial reporting teams to ensure quality control and compliance with regulatory requirements
Keep abreast of regulatory developments and make strategic recommendations for process/control modifications and the oversight of their implementation
Change agent who can manage projects while improving processes, controls and drive change to build efficiencies
Assist in the assessment of new products to determine regulatory reporting implications
Work to ensure that the firm is following the best practices for regulatory reporting
Maintain relationships with key internal parties (Operations, Product Finance, Quality Assurance, Group Audit, Legal, Compliance) in support of the legal entity and to improve the accuracy and quality of information for regulatory and financial reporting
8 to 10 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank with knowledge of bank regulatory reporting requirements (i.e. FFIEC 031, FR Y9-C, FR2900, FR2644, 002/S, SLT, SHLA, TIC Reports etc)
Outstanding interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders
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
Demonstrated desire to add significant value within a fast-paced environment
Strong background and understanding of US GAAP required
Strong analytical and communication skills. Ability to research, verify and document business drivers as well as deliver oral presentation on results in a clear and concise manner
B.S. degree required
Public Accounting firm experience with Financial Institution clients a plus

124

Broker Dealer Regulatory Reporting Resume Examples & Samples

Review current processes and controls around broker/dealers’ compliance with SEC Rule 15c3-3
Oversee and ensure that documentation of team policies and procedures is accurate and up to date
Work with internal stakeholders and outside consultants to implement best practice 15c3-3 process changes
Strengthen controls around monthly FOCUS review process
Lead FCG contact on all regulatory examinations as well as ad hoc inquiries/requests made by the firm’s regulators including, but not limited to, the SEC, FINRA, and CFTC
Interpret and guide internal clients on regulatory treatment/ramifications of proposed transactions
Lead/manage all facets (except Operations) of broker dealers’ ICOC efforts

125

UK Regulatory Reporting Resume Examples & Samples

Preparation of monthly, quarterly and biannual returns for the following solo regulated entities and their associated UK consolidation groups: JPMorgan Securities Plc (JPMS Plc), JP Morgan Europe Limited (JPMEL), JPMorgan Markets Limited (JPMML), JPMorgan International Bank (JPMIB)
Daily monitoring and preparation of capital adequacy and large exposures reports for the above entities
Interpretation of the Regulatory rules which forms the basis of PRA reporting and providing regulatory guidance to the business
Partnership and supporting other Finance areas with other reporting requirements (e.g. recovery and resolution, ICAAP)
Strong interpersonal and team working skills
Self motivated that is able to work with minimal supervision
Demonstrate strong analytical and problem solving skills
Flexibility to work under pressure to meet changing work requirements and strict deadlines
Ability to communicate effectively at all levels
Strong attention to detail
Proficiency in Microsoft Office – Excel (pivot table and vlookup), Access, Outlook, Word and Powerpoint
Capital adequacy reporting under CRD IV and COREP desirable
General accounting, reconciliation and finance knowledge essential, preferably from a Regulatory environment
Experience of Axiom at a user level although this is not essential
Investment banking product knowledge would be an advantage but not essential
Qualified CA with 2-4 years experience

126

VP-regulatory Reporting Product Resume Examples & Samples

10+ years of working experience in accounting or regulatory reporting functions in a financial institution
Undergraduate degree in accounting and/or finance
Strong interpersonal, quantitative and analytical skills and a high proficiency with MS Excel, Word, and PowerPoint
Strong written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts
Teamwork and collaboration-orientated
External Fed reporting experience

127

CCB Risk-consumer Risk & Regulatory Reporting Resume Examples & Samples

Manage the Consumer Risk Management Report Distribution Tool including the validation of report registration
Coordinate automated reporting from consumer LOB’s for CCB Risk Reporting deliverables
Manage report access governance
Prepare reporting for the Board of Directors Audit Committee
Provide quarterly allowance for loan loss analysis and reporting
Credit Risk Reporting
Assist in Key Performance Indicator (KPI) reporting for risk reporting
Complete regulatory report requests
Assist in quarterly SEC reporting updates
Provide relevant ad hoc support to achieve CCB Risk Management objectives
Support risk projects, initiatives and activities
Expand and enhance existing processes and procedures
Background in risk management, finance, or accounting
Minimum six years of relevant experience, preferably in banking
Familiarity with report creation technology and automated report repository framework
Ability to understand internal policies and regulatory requirements pertaining to Consumer & Community Banking Risk Management
Ability to communicate effectively, both written and oral; comfortable working across multiple organizational levels across multiple organizations and functional areas
Strong partnership and influence skills
Self starter; comfortable working independently to meet deadlines as well as working as part of a team
Advanced technology skills: Microsoft Office products (particularly Excel), Cognos, Business Intelligence (BI) tools

128

Associate UK Regulatory Reporting Resume Examples & Samples

Strong interpersonal and team working skills
Capital adequacy reporting under CRD IV and COREP desirable
Investment banking product knowledge would be an advantage but not essential
Qualified CA with 3-6 years experience

129

Regulatory Reporting & Banking Product Financial Resume Examples & Samples

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 manager in assessing and enhancing operational controls
Assign and review work of staff, evaluating their findings and judgment in applying regulatory principles to reporting
Facilitating ad hoc, special requests and project management
7+ years of Finance, Accounting or Product Control experience, preferably at large financial institution
Working knowledge of banking products and services, especially loans, deposits, investment securities and derivatives
Derivatives Knowledge highly preferred
Strong understanding of current accounting principles, policies and financial institution regulatory reporting, e.g., FRY-9C, Call Report, etc
Data tracing/mining experience preferred
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
Must be highly influential with multiple stakeholders, including Operations and Product Control with no direct oversight
Strong Microsoft Office skills including Microsoft Project and PowerPoint to develop project plans and reports/presentations
Strong General Ledger Platforms, Product Processors, and Data Warehouses experience
Must be a proactive and goal-oriented strategic thinker, with ability to identify creative solutions
Ability to multi-task and manage to project plan, demonstrating independent leadership skills
Possess strong team building, planning and project management skills driven by process improvement
Strong understanding and appreciation of internal control environment, reporting, and metrics is required

130

Regulatory Reporting & Banking Product Financial Resume Examples & Samples

Interface with product and country controllers to obtain customer source data, review contracts and determine if critical data elements were accurately reported; making note of any exceptions
Communicate to relevant business contact exceptions and follow through to ensure remediation actions are performed
Produce and update and KPIs, metrics, and other presentations
Provide input on training programs
Participate in Internal Audit (IA) reviews
Facilitate ad hoc and special requests
5+ years of Finance, Accounting or Product Control experience, preferably at large financial institution
Solid analytical skills, combined with an ability to deliver analyses in a concise and logical manner
Understanding of current accounting principles, policies and financial institution regulatory reporting, e.g., FRY-9C, Call Report, etc
Experience in working in operations unit requiring coordination across multiple regions and business segments preferred
Must have strong communication skills (oral and written) to liaise with multiple groups and clearly articulate findings
Must be assertive and have strong follow up skills
Strong Microsoft Office, General Ledger Platforms, Product Processors, and Data Warehouses experience

131

Regulatory Reporting Controller Resume Examples & Samples

Preparation, analysis, review of quarterly COREP reporting for one of the UK regulated entities, covering the Own Funds calculation. Key components include reporting the Tier 1 Capital numbers and Risk Weighted Assets
Prepare and coordinate reviews and signoff papers and present in Senior Management meetings
Prepare and present capital data and information to aid internal management information and Firm capital forecasting
Support ad hoc requests, such as, but not limited to: Internal stakeholder education, technical reviews of returns working alongside policy, liaising with financial controllers with regards to the capital calculations
Perform periodic coordination and review of operational controls (e.g. System access reviews)
Provide cross coverage as appropriate for Glasgow Regulatory Controller team
Degree or equivalent with accounting and/or finance modules preferred
Qualified or part-qualified Accountant highly desirable
Knowledge of Capital Requirements Regulation
Attention to detail and time management are essential skills for this role. Ability to work to various overlapping and dynamic deadlines – daily, monthly and quarterly timings

132

Rohq-cto-regulatory Reporting Resume Examples & Samples

Prior experience in CCAR , US Regulatory Reporting OR Risk (Wholesale , Retail, Operational or Market Risk) related activities highly preferred but not mandatory
Able to work effectively and efficiently toward goals in a complex, diverse environment with multiple and changing demands
Advanced Microsoft Excel & PowerPoint Skills
Experience with Data Quality Measurement concepts
Identifies, develops, and initiates innovations and solutions where precedents and procedures may not exist
Works cross-functionally to solve problems and implement changes
Ability to work with minimum supervision as an individual contributor or as part of a larger team
Analytical thinking skills
Critical Thinking & Problem-Solving skills: Analyzes decisions and actions for their support of the larger area's strategic direction. Escalates problems that require attention in a timely basis
Collaboration: Demonstrates collaboration skills and techniques which appropriately define alternate solutions; resolve conflicts; and create lasting, productive partnerships with clients

133

Broker Dealer Regulatory Reporting Controller Resume Examples & Samples

Financial management validation and control for the US Broker Dealer including all regulatory reporting and financial statement reporting
Keeping abreast of regulatory developments and making strategic recommendations for process/control modifications and the oversight of their implementation
Will maintain relationships with key external stakeholders (regulatory/government bodies, external auditors) as it pertains to legal entities. Ensure that DB remains apprised of regulatory and market expectations
Contribute value added and strategic insight to organizational areas within the firm including within Group Finance and other stakeholders throughout the businesses
Will maintain relationships with key internal parties (Operations, Business Finance, Financial Reporting) in support of the legal entity and to improve the accuracy and quality of information for regulatory and financial reporting
10+ years of experience in a position of increasing responsibility within a Regulatory Reporting (15c3-1, Focus Reporting, SSOI, TIC) function within a Global Investment Bank
Excellent interpersonal skills with the ability to build collaborative relationships
Strong understanding of, and direct experience with Regulatory Reporting
Ability to create vision and develop/implement strategy for the same
Demonstrated desire to add significant value within a fast-paced environment

134

Regulatory Reporting Team Resume Examples & Samples

Preparation of monthly, quarterly and annual returns related to Financial Statements for Asia, EMEA, UK and LATAM/US regions
Preparation and review of regulatory reports/submissions for JP Morgan entities as per US GAAP / SEC requirements on monthly & Quarterly basis
Support various lines of business & Legal entity controllers with performance reporting and other query resolution especially on regulatory reporting
Ensure financial Integrity of General Ledger data by performing control checks & follow ups as required in line with the reporting requirement
Support for Finance Technology user acceptance testing (UAT) and project execution
Strong interpersonal and team working skills
Self motivated that is able to work with minimal supervision
Flexibility to work under pressure to meet changing work requirements and strict deadlines
Ability to communicate effectively at all levels
CA with good accounting, analytical and communication skills
CA with 1-2 Year experience in audit / finance / banking / financial reporting function
Good logical and analytical skills, strong accounting skills and aptitude to work with numbers
Good Excel & Access skills. Exposure to SAP will be added advantage
The successful candidate should have solid communications and negotiation skills
Proactive, positive approach. Able to grasp/learn concepts and procedures quickly

135

Regulatory Reporting Senior Manager Resume Examples & Samples

Experience working with systems processing large volumes of data, and the controls required to manage such systems
Experience of regulatory reporting within an investment banking/ trading environment or audit
Experience in the regional office of a multinational organisation
Experience with statutory reporting, financial accounting and compliance

136

Regulatory Reporting Sales Resume Examples & Samples

Developing new business for SS&C GlobeOp through lead generation, qualification, proposal development, and managing sales process to successful closure
Building relationships with intermediaries and referral sources
Development and execution of sales by utilizing direct marketing strategies, sales force building, sales process management, and marketing support materials
Developing and presenting sound business conclusions from gathered information
Maintaining knowledge of industry trends and their potential impact on SS&C GlobeOp
Bachelor’s degree in Business Administration or related field
CFA, or CAIA is preferred
10 + years of experience selling to the financial community
Successful completion of a formalized sales training program at a financial institution
Understanding of the Hedge Fund/Private Equity industry
Knowledge of financial products including, but not limited to equities, fixed income, currencies and derivatives (including structured OTC derivatives) is a plus
Prior exposure to the hedge fund, private equity, and bank regulatory landscape
Demonstrable communication, relationship, and team skills
High level of comfort preparing and leading client presentations
A strong intrinsic drive to follow all tasks through to completion
Significant degree of self-motivation, direction, and integrity
"Down to Earth" sales execution style
Travel in the US and Canada is required

137

Regulatory Reporting Compliance Officer Resume Examples & Samples

Renovating regulatory processes (e.g. involvement with the likes of transaction and other types of regulatory reporting)
Interpreting rules and applying judgment on practical solutions
Providing advice and guidance to the business units with regards to complex structured transactions
Leading responses to FCA/industry focused initiatives and representing the Firm’s interests in industry working groups and coordinating internal action across S&T
Involvement in regulatory visits and examinations
Execution of key regulatory reporting initiatives across the business units, operations and LCD
Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate
Product and investment banking knowledge (having worked in-house for an investment bank highly preferable)
Good understanding of UK Compliance issues and relevant laws and regulations. Previous experience in large shareholder, short selling and/or transaction reporting role at a complex financial institution
Confident, able to use initiative, excellent judgment, analytical, good communication and organisational skills

138

Regulatory Reporting Controller Resume Examples & Samples

Part of a team responsible for the accurate and timely reporting of all bank regulatory reports within the Americas Regional Finance group
Interact with various teams from regulatory agencies (FRBNY, NYDFS etc), including report analysts and examiners
Manage relationship with colleagues in the financial reporting teams to ensure quality control and compliance with regulatory requirements
Keep abreast of regulatory developments and make strategic recommendations for process/control modifications and the oversight of their implementation
Change agent who can improve processes, controls and drive change to build efficiencies
Assist in the assessment of new products to determine regulatory reporting implications
Work to ensure that the firm is following the best practices for regulatory reporting
Maintain relationships with key internal parties (Operations, Product Finance, Quality Assurance) in support of the legal entity and to improve the accuracy and quality of information for regulatory and financial reporting
7 to 10 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank with knowledge of bank regulatory reporting requirements (i.e. FFIEC 041, FR Y9-C, FR2900, FR2644, FFIEC 002/S, SLT, SHLA, TIC Reports)
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
Demonstrated desire to add significant value within a fast-paced environment
Strong background and understanding of US GAAP required
Ability to research, verify and document business drivers as well as deliver presentations on results in a clear and concise manner
B.S. degree required
CPA or MBA preferred but not required

139

Associate Accountant, Regulatory Reporting Resume Examples & Samples

Reports to the Regulatory Reporting Manager
Produces Irish statistical returns, both monthly and quarterly
Ensues quality is maintained across all submission types regarding content and format and that returns are in accordance with Central Bank guidelines
Builds strong professional relationships with internal and external parties
Responsible for the maintenance of the list of funds to be reported on for each return
Completes a reconciliation of the list of funds to other internal reference sources semi-annually
Liaison with other Northern Trust Departments as required
Delivers clear, cross-referenced working papers to support financial/qualitative data in regulatory returns and audit trails
Develops and updates procedures documents and checklists as required
Assists the Regulatory Reporting Manager in liaising with our business process analysts to ensure the process is as automated and as controlled as possible
Assists the Regulatory Reporting Manager to identify gaps in the existing process to improve and streamline each of the processes and to leverage the offshore Central Bank Team where ever possible
Involvement in KIID Production Services SRRI, Past Performance and SRRI in line with CESR Guidelines
Involvement in the OCF production process including direction of the offshore production team
Review OCF calculations prior to providing to the Team Leader for their internal review
Demonstrates commitment to producing very high quality work to tight cyclical deadlines
Quality driven, ensuring excellent accuracy and attention to detail
Time management & organisational skills
Self-motivated, innovative and analytical
Ability to learn and adapt to new processes quickly
Flexible to requirements of role
Basic knowledge of regulatory/compliance reporting is desirable but not essential

140

Supervisor Regulatory Reporting Resume Examples & Samples

Bachelor's degree or equivalent work experience with a minimum of 1 years in a team leader or supervisory role, or be an exceptional candidate in a senior administrative role
Excellent analytical skills with strong attention to detail
Proven ability to take initiative and work under pressure in a changing environment
Proven leadership skills to deliver effective results and develop team members
Excellent organizational, planning and strategic leadership skills
Strong command of VBA and SQL, MS Office: Excel, Access and PowerPoint
Ability to manage and lead in a multi-site, cross-cultural and cross-functional environment
Ability to make decisions independently within the context of organizational goals and long-term objectives, and guide others to implement decisions that follow corporate strategies
Ability to solve or provide input to solve complex challenges
May be required to occasionally travel to and from FTI offices

141

Consultant, Regulatory Reporting Resume Examples & Samples

Reports to the Regulatory Reporting Manager
Leads the production of Irish statistical returns, both monthly and quarterly
Strengthen the control environment for the production of all regulatory reports
Monitors team workloads and ensure appropriate allocations, considering production deadlines to ensure deadlines are met
Identifies gaps in the existing process to improve and streamline each of the processes and to leverage the Offshore Team where ever possible
Continually looks to build on the existing process to improve quality and timeliness
Liaise with our business process analysts to ensure the process is as automated and controlled as possible
Ensures that quality is maintained across all submission types regarding content and format and that returns are in accordance with Central Bank guidelines
Develops and updates procedures documents and checklists as required
Builds a strong professional relationship with the Irish Central Bank
Liaise with other Northern Trust Departments as required
Assists in the completion of special projects or routine research as required
Delivers clear, cross-referenced working papers to support financial/qualitative data in regulatory returns and audit trails
Prepares variance analysis with explanation to support material movements based on financial/qualitative assessment
Provides input for Central Bank reporting element to client SLD’s
Train new team members on the operational process and technical requirements
Potential involvement in KIID Production Services SRRI, Past Performance and SRRI in line with CESR Guidelines
Demonstrates commitment to producing very high quality work to tight cyclical deadlines
Knowledge of financial and regulatory reporting requirements
Quality driven, ensuring excellent accuracy and attention to detail
Ability to check and identify errors in the review process
Experience in supervisory role
Strong team player self-motivated, innovative and analytical
Good communication and interpersonal skills are required
Time management & organisational skills
Self-motivated, innovative and analytical
Ability to learn and adapt to new processes quickly
Ability to acknowledge the spirit of compliance and risk management
Ability to identify process improvement opportunities and to help deliver those improvements
Flexible to requirements of role
Basic knowledge of regulatory/compliance reporting is desirable but not essential
Knowledge of fund valuation function is desirable but not essential
Good operational knowledge of fund accounting systems is desirable but not essential

142

Citibank Berhad Kl-local Regulatory Reporting Officer Resume Examples & Samples

Minimum of 8-10 years of work experience as a finance professional in either a bank, financial institution or accountancy firm with direct responsibility for reporting or audit work of financial institutions
Proven track record in Accountancy/Regulations Compliance
Strong in excel, database usage, mapping logic and data mining
Proven ability to deliver goals and objectives in tight timelines
Able to demonstrate integrity and professionalism
Proven track record in challenging the status quo
CPA qualification is a plus
Strong professional references

143

Intermediate Accountant, Regulatory Reporting Resume Examples & Samples

Ensures the accounting transactions are recorded accurately and timely across individual legal entities
Reconciles, investigates, and explains accounting information in accordance with aggressive deadlines
Reviews or analyzes data for completeness, material changes, variances and other appropriate information
Assist with financial statement preparation and reporting requirements

144

Capital Regulatory Reporting Senior Business Analyst Resume Examples & Samples

Planning and executing the testing phase with all stakeholders (testing approach, test plan, cases, testing metrics)
Leading stakeholders meetings, raising appropriate status, risks, and issues. Facilitate project decision making
Relevant experience as Business Analyst working on projects for the Finance department of an investment bank / financial services company
Experience across a range of financial products (Fixed Income, Equity, Derivatives, Loans)
Excellent communication skills both written and verbal
Excellent soft skills with experience working across multiple groups and levels within the organisation
Project management experience, preferably in regulatory or accounting change
Experience of CoRep and/or Pillar 3 disclosures
Part Qualified/Qualified Accountant

145

Business Analyst Derivatives Regulatory Reporting Exception Management Resume Examples & Samples

Raise items to IT Book of Work to fix the root cause of NACKs
Work closely with the Control team, to identify trades breaking in the reconciliation, that require data repair to achieve resolution
Perform analysis of trade populations ahead of any Legal Entity Migrations, communicating any expected issues post migration
Investigate timeliness misses (CFTC (Commodity Futures Trading Commission) eligible trades reported >15minutes), and communicate results with managers in Wroclaw, NY and London, as well as with Trade Management teams
LI-MK4*

146

Team Lead Derivatives Regulatory Reporting Client Queries Resume Examples & Samples

Leading a team of 2 responsible for responding to both internal and external client queries
Monitoring Client Queries inbox, ensuring all queries are responded to within a timely manner
Respond directly to clients, both internal and external, on more challenging and complex requests, as well as providing responses to senior management on internal client queries
Produce metrics on number and type of queries received and response timeframes and circulate to MI&C management team on a weekly basis, providing explanations for items exceeding recommended response times
Work closely with the Control team who perform a reconciliation of our reported population toward gaining a thorough understanding of their reconciliations and systems, enabling independent management of client queries
Manage reporting of positions directly to Regulators not on the strategic platforms, eg Bank of Israel and South African Reserve Bank reporting
Work with team members and Poland Lead toward setting objectives and development plans for the Client Queries team
LI-MK4*

147

Regulatory Reporting Policy & Governance Consultant Resume Examples & Samples

Coordinate financial analysis and reporting process workflow within team. Provide leadership and mentoring for less experienced team members; review and approve work of other team members. Ensure that changes to reporting process workflow and/or source data are documented and communicated to downstream reporting groups
Respond to inquiries and provide thorough analysis of financial information for assigned area of responsibility. Confer with Accounting Policy or Regulatory Reporting on requests related to external audits or regulatory examinations
Compile and submit timely and accurate reports related to complex aspects of the Bank’s financial performance or strategy. These may include: pro-forma projections for transaction, products, market segmentation strategies or acquisitions; income/expense or cash flow forecasts; regulatory interpretations, variance analyses and explanations for financial statement line items; or summaries, charts and graphs of data to highlight key results. Ensure that source data is reliable and complete and documentation is maintained to support data integrity initiatives. Interpret and summarize results and trends for Executive Management. Build/maintain specialized product/technical expertise for assigned area
Monitor financial performance to detect unusual or significant transactions or trend development. Conduct or assist in root-cause analysis, as assigned
Become familiar with products, fees and fee codes, regulatory reporting requirements, business cycles, origination channels and accounting flow for assigned area of responsibility
Understand cost allocation methods for assigned area of responsibility
Maintain financial information via the use of simple spreadsheets to more complex databases. Assist in the development and testing of economic models. Maintain necessary documentation of source data, ensuring adequate support of data integrity
Review and update policies and procedures for compliance with governmental regulations and corporate policies and standards. Coordinate development of new accounting processes and procedures, as needed
Analyze business and accounting processes for control and efficiency improvements
Maintain a working knowledge of generally accepted accounting principles; build expertise related to assigned area of responsibility
Maintain a working knowledge of regulatory reporting requirements; build expertise related to area of responsibility
Provide line of business (LOB) personnel with the monthly performance review package by preparing and providing explanation of changes and identification of trends for use in discussions with the Chief Financial Officer (CFO) and other members of Executive Management
Review and interpret more complex contracts or agreements for proper accounting treatment, as required
Coordinate internal or external audits and examinations (responses to External and Regulatory requests are to be made in collaboration with Accounting Policy)
Bachelor’s degree in Accounting or Finance, or equivalent education and related training
Eight years of relevant accounting experience that includes complex financial analysis
Demonstrated strong analytical and problem solving skills
Demonstrated sound and logical decision-making abilities
Demonstrated leadership ability and skills
Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
Five years of financial services accounting experience
Certified Public Accountant, Certified Management Accountant, or Chartered Financial Analyst

148

China Integrated Middle Office Pre Regulatory Reporting Service Delive Resume Examples & Samples

Settlements area of a brokerage or at a custodian bank; or
Brokerage industry trade administration and clearance or
Interacting with clients and agencies such as exchanges or
A back office functions of bank, custodian or a brokerage firm

149

Senior Accountant Regulatory Reporting Resume Examples & Samples

2-5 years accounting, financial or auditing experience
Graduate university degree in Accounting, Controlling, Finance or Business
Experience of banking financial and regulatory reporting, including Basel 3 deliverables
Exposure to regulatory reporting IT tools (FRS or Finarch)
IFRS and/or US GAAP exposure
Strong technical and analytical skills
Focused on quality and timely delivery
Solid organization, project and planning skills
Solution and change oriented
Ability to work in a matrix structure
International outlook and experience
English & German fluent

150

Regulatory Reporting Senior Associate Resume Examples & Samples

Ensure the successful delivery of the regulatory and tax products provided
Managing a small team of offshore staff, reviewing their work
Client facing role handing out advice for process improvements through analysis
Developing strong relationships with divisions across the business

151

Bank Regulatory Reporting Resume Examples & Samples

Be part of the team that is responsible for the accurate and timely reporting of all the bank regulatory reporting within the Americas Regional Finance group
Interact with various teams from the bank regulatory agencies, including report analysts and examiners
Manage relationship with colleagues in the financial reporting teams to ensure quality control and compliance with regulatory requirements
Keep abreast of regulatory developments and make strategic recommendations for process/control modifications and the oversight of their implementation
Change agent who can improve processes, controls and drive change to build efficiencies
Assist in the assessment of new products to determine regulatory reporting implications
Work to ensure that the firm is following the best practices for regulatory reporting
Maintain relationships with key internal parties (Operations, Product Finance, Quality Assurance) in support of the legal entity and to improve the accuracy and quality of information for regulatory and financial reporting
5 to 7 years of experience in a position of increasing responsibility within Finance in a Global Investment Bank with knowledge of bank regulatory reporting requirements (i.e. FFIEC 031, Y9-C, FR2900, FR2644, 002/S, SLT, SHLA)
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
Demonstrated desire to add significant value within a fast-paced environment
Strong background and understanding of US GAAP required
CPA or MBA preferred but not required
Public Accounting firm experience with Financial Institution clients a plus

152

Citibank Berhad Kl-local Regulatory Reporting Officer Resume Examples & Samples

As a preparer and team leader of the local regulatory reports for BNM STATsmart, PIDM, Bursa, Labuan FSA reporting
Ensure data completeness, integrity and accuracy in financial reporting to various regulatory bodies
Comply with the required accounting standard and timeline for financial reporting
Demonstrate fully understanding of reporting requirement according to regulatory guidelines and accounting standard
Involve in process and control design from end-to-end to achieve quality reporting
Accounting advisory to business for new products or transactions (Islamic banking included)
Interpret and analyse complex financial data and draw valid conclusions
Detect possible weaknesses of internal control and standard accounting procedures and recommend revisions
Stay current with statutory rules and regulations and determine the impact changes to the rules and regulations
Liaise with Regional Finance for projects, queries, and escalations
Liaise with stakeholders from various business, functions and operations to achieve common reporting goals
As one of the Citi interface with local regulatory authorities in Malaysia
Handle ad hoc projects/presentation from Country CFO/Controllers and Citi Finance
Comply with all Citi requirements as Citi employees included data privacy, safeguard data confidentiality, code of conducts, information security, outsourcing governance, business continuity, and related regulatory requirements
Confident person with ability to clearly articulate concepts and policies

153

Regulatory Reporting Financial Analyst Resume Examples & Samples

BA/BS in Accounting or Finance
5+ years of experience in an accounting or regulatory reporting role
Product knowledge of Long Term Debt/ Short Term Debt,Trading Securities is a plus
An energetic, detail-oriented, highly motivated self-starter who aspires to be a key contributor within a team of subject matter experts
Strong interpersonal skills are needed to liaise with a range of senior/junior staff across a number of departments and countries

154

Regulatory Reporting & Surveillance Support Manager Resume Examples & Samples

Management and oversight of the BAU processes undertaken by the DOI team and the newly formed Transaction Reporting Compliance advisory team
Reviewing and analysing Trade Data flows and Trade Surveillance systems designed to meet regulatory obligations arising from Sales and trading activity. Providing recommendations for change and working with Compliance Technology team to drive and implement change
Implementation of Compliance program around FCA Transaction Reporting. Working with Operations and Technology to investigate and remediate Transaction reporting issues
Leading EMEA projects for Trade Surveillance and DOI which will include enhancing existing Surveillance Technology and extending the scope of the EMEA surveillance program to other countries within the EMEA region
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
Representing the EMEA region at Global Working Groups for Trade Surveillance, DOI and Transaction Reporting
Extensive years of experience in the financial services industry
Extensive years of experience in a control/ compliance function
Experience in a people management is essential
Highly effective project delivery skills with a proven record in successfully completing multiple key projects simultaneously
Highly effective leadership and relationship building skills with individuals at all levels of organizational seniority, with demonstrated ability to effect change
Experienced AVP or above with a proven record in leading and driving change
Knowledge of FCA Transaction Reporting requirements

155

Manager, Group Regulatory Reporting Resume Examples & Samples

Preparation and lodgement of regulatory returns in Australia and offshore jurisdictions for Macquarie Bank and its branches and the Macquarie Group and certain subsidiaries
Maintain and oversee the implementation of the Group Regulatory Reporting Control Framework
Assessment of the reporting implications of ongoing regulatory change
Project work including the development & implementation of Macquarie specific regulatory reporting systems and process reengineering
Technical support regarding the regulatory reporting treatment of new products and transactions
Management reporting to internal stakeholders with a focus on capital usage and return metrics
Ad hoc requests as required by Senior Executives
Develop and maintain processes for the preparation and submission of regulatory returns
Review and oversight of monthly, quarterly and annual external regulatory returns for the Macquarie Group
Involvement with production of Macquarie's quarterly 'Pillar 3' disclosure document and half yearly financial disclosures
Involvement with the ongoing maintenance of the Regulatory Reporting return automation and reengineering project
A self starter with ability to manage multiple tasks and work flows and ensure that deliverables are understood and achieved
Team orientated approach
Clear, concise written and verbal communication skills
Strong sense of ownership of areas of responsibility
Ability to lead by example to influence the behaviour of the wider team, including team members located offshore
Strong customer service ethic, subject to maintaining an internal control environment
Anticipate potential problems and contribute to identifying innovative solutions
Strong accounting skills including understanding of financial controls
Managing the Macquarie balance sheet and profit & loss optimally and strategically
Adding value to Macquarie's senior management and its businesses by providing advice and analysis that is strategic, timely, accurate and comprehensive
Ensuring Macquarie continues to meet the obligations within its regulatory and compliance framework

156

Regulatory Reporting Supervisor Resume Examples & Samples

Minimum 5 years of SEC or regulatory reporting experience
Minimum 4 years Excel experience using pivots and advanced formulas
Minimum 1 year supervisory experience
Preparation and review of bank regulatory reports and supporting documentation within established deadlines. Assist in coordinating the additional reporting requirements resulting from mergers and other corporate changes
Manage timing of report completion to ensure that all reports are prepared and filed on a timely basis within regulatory deadlines
Review and identify errors and issues in drafts of bank regulatory reports and supporting documentation prepared by members of the regulatory reporting team. Support staff as they work toward resolution of found errors and issues
Stay current on new or changing bank regulatory reports and guidance/instructions. Assess impact to CNB
Implement new and changing reporting requirements, including the establishing of new processes or enhancements to existing processes. Prepare associated memos and supporting documentation
Support or lead special projects in the regulatory reporting function
Assist in the development of staff members
Bachelor's degree preferred
Banking or financial services experience preferred
Knowledge of PeopleSoft GL is a plus
Excellent written and verbal communication skills
Ability to communicate with diplomacy and under tight deadlines
Must have excellent analytical thinking and problem solving skills
Strong organizational skills with the ability to multitask and prioritize conflicting demands
Ability to work independently and as part of a team
Ability to train and motivate staff
Represents the basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications
LI-SW1

157

CIB F&BM Regulatory Reporting Resume Examples & Samples

Production and review of regulatory reporting for JPMBL and branches: FINREP, COREP, statistical reporting to CSSF, ECB, BCL
Reconciliation and controls
Ad hoc reporting to regulators
Management of reporting software updates
Develop new accounting and reporting processes for new entities and transaction types
Improve and automate existing processes
Preparation of annual financial statements
Support finance projects
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
Fluency in English
Qualified accountant/MBA/Masters in Finance
Excellent knowledge of Luxembourg regulatory reporting and US Gaap, IFRS accounting standards
6+ years of accounting / financial experience
Strong PC / systems skills

158

Regulatory Reporting Executive Resume Examples & Samples

Manage centralized report production for capital-based regulatory reporting including Y-9C Sch HC-R, FFIEC 101, FFIEC 102, and FR Y-14M/Q
Design and implement the target state operating model, including organizational construct, resourcing requirements and operating budget
Manage a team of reporting Subject matter expert resources. Effectively manage the performance and development of the employees on the team
Appropriately manage and drive change to mitigate operational and financial risk. Design and implement standardized controls framework, issues management, and governance routines, including accountability, across the reports in line with CRR objectives
Manage regulatory examinations including timely data collection and remediation of audit issues, self-identified audit issues, and regulator identified issues

159

Program Manager for Automation of Singapore Local Regulatory Reporting Resume Examples & Samples

Leading, tracking and driving the progress of all work-streams (requirements, development, testing, operational readiness, data readiness etc.) of the program
Regularly making presentations to the program Steering Committee for reporting project progress and escalating issues
Due to the high visibility of the position, the candidate must possess superior communication skills
Effective in on-site/off-shore model and coordination
Assume functional ownership of the solution
Hands-on technical experience is a plus
Manage scope of the project effectively
Provide oversight on processes involved
The candidate should also be experienced with multitasking, balancing tasks with priorities accordingly
Experience working on several projects at the same time is required
The person has to be result-oriented, willing and able to take ownership of engagements
High Energy Individual with exceptional communication skills
High caliber person having strong analytical skills
Ability to comprehend, track and resolve multiple dependencies to achieve the end result
Ability to effortlessly engage with Senior Management
Knowledge of database skills and knowledge of data warehousing concepts for reporting
Strong SQL skills with the ability to analyze large volume of data
Possess a very good ability to grasp the underlying business process and ability to work as an individual and in a team

160

Senior Regulatory Reporting Financial Business Analyst VP Resume Examples & Samples

Prepare and produce recurring internal reporting/presentation materials while ensuring accurate and consistent communications
Effective in on-site/off-shore model and coordination
Assume functional ownership of the solution
Manage scope of the project effectively
Provide oversight on processes involved
Prepare and produce recurring internal reporting/presentation materials while ensuring accurate and consistent communication
Bachelor’s or Master degree in Finance, Chartered accountant
CFA 5+ years work experience as Business Analyst
Strong SQL skills with the ability to analyze large volume of data
Must have comprehensive experience in working on retail banking side; experience on securitization especially on mortgage backed securities will be an advantage
CCAR experience is a huge plus
Must have detail knowledge on mortgages workflow like origination, Underwriting, risk assessment, reverse mortgage, cash flow, etc
Must have strong knowledge on life cycle of the CARDS product
Knowledge of database skills and knowledge of data warehousing concepts for BI reporting·
Strong MS Office skills
Knowledge of BI products like business object/microstategy is an added advantage
Hands-on technical experience is a plus

161

Senior Officer Regulatory Reporting Resume Examples & Samples

This role is responsible for handling the submission of periodic reports to various regulators, including ad hoc queries and managing audit (internal/statutory/regulatory) deliverables from time to time
It involves managing deliverables in a very dynamic market / regulatory environment, engaging extensively with various stakeholders (both internal and external) including Regulators (SEBI / RBI / NSDL / CDSL), Custodian counterparts, Product, Compliance, Finance, Tax, etc
Managing day to day reporting deliverables with complete adherence to defined processes and controls
Compliance with various regulation
Change Management (Market/Regulatory/Client driven, etc.)
Contribute to process reviews; drive re-engineering, standardization and automation initiatives
Managing relationship with various internal stake-holders viz. Business team, Compliance and external stake-holders viz. Stock exchange, depositories, Brokers, etc
Up to 4 years of overall experience in banking/financial services operations
Prior experience in Indian capital markets related operations/regulatory reporting (including custody/broking, etc.) would be a value add
Basic background of Indian capital markets, Equity transaction life cycle, Foreign portfolio investors
Attention to detail with a focus on process risk and controls

162

Securities & Regulatory Reporting Coverage Operations Compliance Officer Resume Examples & Samples

Research and analyze applicable rules to provide timely advice in connection with securities transactions, products and projects
Provide guidance regarding the design and implementation of controls to facilitate compliance and mitigate risk in securities regulatory reporting
Oversee monthly reviews of FINRA report card results for TRACE, MSRB, OATS and TRF Reporting
Actively monitor regulatory change, and take appropriate action to ensure the Firm complies with new or amended regulations
Develop and deliver training regarding regulatory reporting
Assist the Firm’s Regulatory Inquiries Group and Regulatory Examinations Group in responding to inquiries and in covering exams relating to equity and fixed income reporting
Assist in the design and maintenance of policies and procedures, including Compliance policies and written supervisory procedures
Provide regulatory guidance to IT in the development of systematic enhancements
Work closely with Operations, Information Technology, Legal and the front office
Strong, relevant regulatory background with five to ten years of compliance or industry experience
Excellent ability to analyze regulations and strong desire to learn new subject matter
Deep level of understanding of technology, including the ability to understand complex trading technologies in order to analyze and extract trading data to respond to regulatory inquiries involving SEC, FINRA and MSRB rules
Excellent interpersonal skills, confidence and credibility

163

Regulatory Reporting Production Support Resume Examples & Samples

BS/BA in Accounting or Finance and 5+ years relevant Regulatory Reporting work experience
Regulatory Capital knowledge and Axiom experience a plus
Experience executing UAT including issue identification and resolution
Ability to manage people, be highly self-motivated and promote teamwork
Excellent analytical, quantitative and problem solving skills including the ability to renovate existing processes
Strong communication, organizational and time management skills
Ability to interact well with others at all levels
Ability to handle and resolve recurring challenges and problems

164

Cross Asset Regulatory Reporting Officer Resume Examples & Samples

Degree in Finance, Economy or Management (required); Master’s Degree is a plus
Experience in Operations is a plus
Knowledge of financial products (Equities, Listed derivatives, Rates, FX, and/or Credit) and of the trade life cycle is a plus
Knowledge of Regulatory Transaction Reporting (CFTC,EMIR,FCA, AMF, JFSA, HKMA) is a plus
Knowledge of French is a plus
Strong Excel Skills and ability to work with heavy data files
Excellent analytical skills to track IT issues
Strong communications skills and able to communicate to management in a clear and concise manner
Ability to prioritize workloads and multi tasks
Ability and will to learn
Proactivity

165

Associate, Regulatory Reporting Resume Examples & Samples

Strong regulatory reporting knowledge, including experience with FR Y9C, Call Report, FFIEC 009, etc
Detail oriented; proactive in issue identification and solution implementation
Strong data aggregation skills – data base usage, Access, etc
Strong written and oral communication skills; hold his/her own in challenging situations and have a strong and independent point of view
Strong leadership skills with the ability to work with and influence people across a matrix organization
Excellent Microsoft Excel knowledge required
Strong teamwork ethic and organizational skills
CPA or equivalent preferred
Minimum 5 years relevant accounting experience; good understanding of US GAAP
Experience in databases and systems, PeopleSoft/Hyperion a plus

166

Senior Manager Local Financials & Regulatory Reporting Resume Examples & Samples

Local Financial statements – Will be responsible for preparing the Annual Financial statements basis the local GAAP and IndAS. Further will have to ensure timely and accurate submission of monthly local financial statements for management review
RBI Reporting – Ensure all RBI reports are submitted on timely basis with correct data. Need to build necessary controls are in place to ensure correctness of numbers generated by ADF /other systems
Co-ordinate implementation efforts of Ind-AS for the bank
ADF system – Will have to be responsible for reviewing and implementing the changes required in the ADF system so as to ensure smooth flow of local financials and RBI report. This also includes complete automation of RBS submissions
CAPAD computation - Ensure correct and timely computation of CAR and leverage ratio on monthly basis. Build necessary control checks
Build necessary process and controls for compliance with new regulations/circulars
New Product Approvals: Understand the new products and ensure regulatory compliances
Partner with business to ensure compliance with regulations, optimize the impact arising from the compliance of regulations
Take lead during the course of Statutory audit, RBI inspection and Internal auditand ensure minimum observations
Ensure statutory certificates as directed by RBI are timely obtained and submitted
Automation / drive and execute productivity initiatives / change management process
Maintain Department Operating Instructions, which documents the process followed by the function

167

AVP, Regulatory Reporting, Group Finance Resume Examples & Samples

Responsible for regulatory returns and compliance reporting to MAS and internal management
Liaise with regulators with respect to queries on the regulatory returns, or clarifications on regulatory or changes
Work closely with other departments in implementing changes to regulatory requirements
Participate in the review and regulatory reporting of new product and services
Implement procedures and internal controls over the preparation of regulatory reports
Participate in ad hoc projects as assigned

168

Accountant, Regulatory Reporting Resume Examples & Samples

Promote the assigned tasks and projects with minimum supervision
Other duties assigned
Intermediate knowledge of financial products (ex. loans, deposits, securities, derivatives, money market products and repo)
Minimum 6 years of experience in Financial Accounting or Regulatory Reporting area. Experience in a bank is preferable
USCPA or equivalent license is required　
Required to work overtime or during weekend when workload is heavy

169

Accounting & Regulatory Reporting, AVP Resume Examples & Samples

Act as a key person for planning, design, establishment and execution of the financial and regulatory reporting framework of the new holding company, which consolidates bank subsidiaries, broker-dealer, swap-house, leasing and other subsidiaries
Manage preparation of financial and regulatory reporting subsequent to the creation of the holding company in cooperation with its subsidiaries
At least 5 years of experience in financial and/or regulatory reporting, or related areas
Knowledge of finance, financial accounting, regulatory reporting, and risk management

170

Associate, Regulatory Reporting Resume Examples & Samples

Maintaining internal control framework for the Regulatory Reporting group
Work with team to understand the information inputs and the reporting process
Maintain process flowcharts and control points, liaison with SOX/FDICIA control team
Ensure all control requirements are being completed on a timely basis including key spreadsheet controls, procedure updates, reporting attestations, etc
Coordinate business continuity plan with Information Technology group
Assist in regulatory reporting examinations by the Fed, internal audit and PWC
Maintain current procedures documentation for all key activities within the regulatory reporting area
Ensure compliance with and completeness of policies and procedures, including Sarbox documentation requirements
3-4 years relevant accounting experience; good understanding of US GAAP
Knowledge of accounting and/or internal control (SOX)
Regulatory reporting experience is beneficial, including experience with FR Y9C, Call Report, etc
Detail oriented; proactive in follow-up and maintaining a documented process
Ability to work with and influence people across a matrix organization
Solid Microsoft Excel knowledge required
Experience in PeopleSoft/Hyperion a plus

171

Associate, Regulatory Reporting Resume Examples & Samples

This position requires subject matter expertise in delivering reporting solutions in accordance with regulations with a focus on the 2052a report
Work with Information Technology and business segments to build out reporting requirements and process supporting 2052a filings
Prepare and review regulatory workpapers to support filings. Document and maintain current procedures for all key activities within the regulatory reporting area
Prepare report scoping for 2052a filings
Develop sustainable process to file monthly reports
Assist in regulatory reporting examinations by the Fed and internal audit
Approximately 6-8 years relevant accounting experience
Advanced Microsoft Excel knowledge
Strong written and oral communication skills with proven ability to hold his/her own in challenging situations and have a strong and independent point of view
Strong teamwork and organizational skills
Understanding of US GAAP, treasury/liquidity experience a plus
Liquidity and regulatory reporting knowledge, including experience with LCR, FR Y9C, Call Report, FR Y-11, etc. preferred
CPA or equivalent
Experience in databases and systems, PeopleSoft/Hyperion

172

Regulatory Reporting & Exam Associate Resume Examples & Samples

Respond and track regulatory electronic blue sheet requests from the SEC, FINRA and other SROs and assist as a back up to handle issues that arise regarding blue sheets requests
Assist with tracking, recording regulatory requests and exams
Assist with MI reporting, including reaching out to non-US, Americas regulatory exam team counterparts to obtain monthly updates on new and existing exams
Maintain tracker of both US exams and non-exam related regulatory requests
Assist with SEC/FINRA Continuous Monitoring program
Assist with routine and ad hoc regulatory requests, including examinations
Manage the CFTC 1.12m process
Oversee payment of regulatory fines, fees and invoices arising out of exams
Assist with special projects as necessary

173

CCB Risk-consumer Risk & Regulatory Reporting Resume Examples & Samples

Ownership of the completion and distribution of the following reporting deliverables
Monthly Executive Risk Management Reporting
Monthly Consumer & Community Banking Risk Credit Reporting materials
Quarterly Regulatory Reporting
Quarterly Credit Results Update
Ownership of the reporting noted above includes
Coordinate automated reporting from consumer businesses
Assist in the Reporting Control Framework, including reporting validation / attestations
Business Resiliency lead
Regulatory Reporting Inventory population update and attestation
Minimum five years of relevant experience, preferably in banking
Ability to understand internal policies and regulatory requirements pertaining to CCB Risk Management
Experience in reporting controls framework and appreciation for the importance of reporting controls

174

Regulatory Reporting Assistant Manager Resume Examples & Samples

Previous experience in a Financial services environment, ideally in a regulatory reporting function
Attention to detail is of the utmost importance
Ability to work accurately to deadlines and under pressure in a fast moving multi-project environment
An experienced and enthusiastic team player
Working knowledge of Excel and Word
Positive attitude, flexible and adaptable to constant change
Problem solving and decision making skills
Planning and organisational skills
Proven record of managing the daily operations of a team
Previous knowledge and experience of shareholder reporting and associated regulations
Previous knowledge of legislation such as UK Disclosure and Transparency Rules, European Union Transparency Directive, AIFMD and MiFID
Advanced knowledge of Excel and Word
Demonstrable willingness to investigate / learn new technologies
Legal education and competency in legal research

175

Regulatory Reporting & Position Services Associate Director Resume Examples & Samples

Position and Trade reporting – To ensure that daily reporting for internal and external FIL customers is produced and delivered within agreed timeframes and standards. Undertake any necessary reconciliations to ensure that data is accurate within the reports
Position and Cash queries – Investigating and responding to queries received from the consumers of ISFA position data related to security, derivative and cash holdings
Holdings Reconciliation – To ensure that when the Position Service overwrites the securities holdings in the trading system that they are all correct and that any differences are logged onto the database for investigation by the relevant ISFA team. Also to ensure that the legacy holdings reconciliation processes for Invest1 to AS400 and Insight are completed
Escrow Processing – To ensure that any escrow updates are correctly processed into the appropriate trading system. Any requests that are n’acked are repaired and any issues resolved with the escrow originator. Provide support for any queries received from the Front Office related to share availability. Proactive management of the escrow universe ensuring that trading systems correctly reflects the current tradable position
Team management including appraisals, staff development and recruitment, including performance and career development aspects
Ensure that disclosures completed by the team are cross checked and approved prior to submission
Responsible for the control and risk environment, ensuring the department’s analysis and output meets expected quality and is operating in an effective and efficient manner
Work with other internal and external parties to ensure that any queries are brought to a prompt resolution
Work with internal departments to ensure that dependencies are clearly understood
Continually develop the internal Governance Forums to ensure a robust oversight process is in place
Support internal and external controls audits as well as supporting and conducting due diligence reviews of processes
Work closely with Investment Legal team to ensure ongoing compliance with regulation and future regulatory changes are clearly understood
Work closely with Technology to ensure that systems are developed to accommodate regulatory requirements
Develop and promote the team’s strategic plan to ensure key technology enhancements are documented and prioritised with clear benefits cases
Ensure that projects are supported in conjunction with the Operational Support and Change teams
Ensuring that direct reports are conversant with all new regulatory requirements and current internal initiatives and directives
Ensure the team’s MIS and performance metrics are developed to support management reporting and planning
On an annual basis review the team’s service costs and recharge for services provided to FMR
Work with department peers and senior management on initiatives and projects that impact the wider Shared Services department

176

Operations Specialist, Regulatory Reporting Resume Examples & Samples

Summarizing these reports based on information identified as vital to the project
Concise data entry covering everything from patient symptoms, admission and results – this will include medical terminology, writing narratives, generating case queries, performing quality control, and ensuring reports are sent to the customer within deadlines
Following up with the patient on topics including symptoms and medication to help identify if this is related to the drug programme

177

Regulatory Reporting & Position Services Resume Examples & Samples

Position and Trade reporting – To ensure that daily reporting for internal and external FIL customers is produced and delivered within agreed timeframes and standards. Undertake any necessary reconciliations to ensure that data is accurate within the reports
Position and Cash queries – Investigating and responding to queries received from the consumers of ISFA position data related to security, derivative and cash holdings
Holdings Reconciliation – To ensure that when the Position Service overwrites the securities holdings in the trading system that they are all correct and that any differences are logged onto the database for investigation by the relevant ISFA team. Also to ensure that the legacy holdings reconciliation processes for Invest1 to AS400 and Insight are completed
Escrow Processing – To ensure that any escrow updates are correctly processed into the appropriate trading system. Any requests that are n’acked are repaired and any issues resolved with the escrow originator. Provide support for any queries received from the Front Office related to share availability. Proactive management of the escrow universe ensuring that trading systems correctly reflects the current tradable position

178

Regulatory Reporting Control & Standardization Analyst Resume Examples & Samples

Establishing and enforcing standard controls across CSC countries
Supporting the individual CSC teams perform controls that require special expertise
Co-ordinating controls-related projects that span multiple countries and teams, or which require special expertise
Identify and evaluate design and operating control deficiencies; and ensure that control issues are escalated to appropriate level
Establishing and enforcing standard control framework across CSC countries
Co-ordinating controls and standardization related projects that span multiple countries and teams, or which require special expertise
Review the regulatory reporting control environment of any new countries whose processes are being migrated to the CSC and come up with recommendations before, during and after process migrations
Being a trusted advisor for CFOs and Country Controllers in the region, providing guidance and best practices
6-8 years of work experience in financial reporting / auditing roles
Some prior experience in a statistical and/or regulatory reporting role would be an advantage
Strong control mindset
Excellent system and analytical skills
Should be creative, proactive and flexible
Has to have excellent ability to pay attention to details and work under pressure
Highly motivated with advanced analytical & problem solving abilities

179

Accounting & Regulatory Reporting, VP Resume Examples & Samples

Prepare assigned regulatory reports in an accurate and timely manner in accordance with GAAP and instructions from regulatory authorities
2) Administrative
Interact with management and various regulators for inquiries and surveys
3) Policy
Keep track of each assigned task and project to meet each deadline
Extensive knowledge of regulatory reporting

180

Regulatory Reporting Principal Auditor Resume Examples & Samples

Evaluate the adequacy and effectiveness of internal controls relating to key financial and regulatory (bank and broker dealer) reporting operations in accordance with Group Audit methodology and the established risk assessment framework
6 to 10 years experience in financial services, with a minimum of 2 years in public accounting preferred
Working knowledge of key financial and bank regulatory reporting risks. Understanding of banking and capital markets products, operations, key banking regulations and general control concepts
Regulatory Reporting knowledge of reports and schedules preferred, i.e., FRY-9C, FFIEC031/041, FFIEC002, FR2314/ FRY-11, FRY-7, etc
Flexible, pro-active, self sufficient and innovative individual with strong organizational and multi-tasking skills to take ownership and responsibility of agreed targets and meet them within budget to enable a timely and efficient completion of audit projects

181

Accountant, Regulatory Reporting Resume Examples & Samples

Demonstrates commitment to producing very high quality work to tight deadlines
Quality Driven, ensuring excellent accuracy and attention to detail
Ability to check and identify errors in the review process
Strong Knowledge of Excel and ability to quickly adapt to other systems
Strong team player, self-motivated, innovative and analytical
Ability to build strong relationships with external clients
Good communication and interpersonal skills are required
Knowledge of regulatory reporting requirements is desirable but not essential
Accounting experience within the Investment Industry is a distinct advantage, financial reporting background an advantage
An appreciation of accounting principles is essential, the candidate will be a qualified accountant or part qualified and interested in completing their qualification
Ability to work in a structured pattern and meeting deadlines

182

Consultant, Regulatory Reporting Resume Examples & Samples

Demonstrates commitment to producing very high quality work to tight deadlines
Knowledge of Financial and Regulatory Reporting requirements
Quality Driven, ensuring excellent accuracy and attention to detail
Strong Knowledge of Excel and ability to quickly adapt to other systems
Strong team player, self-motivated, innovative and analytical
Ability to build strong relationships with external clients
Ability to acknowledge the spirit of Compliance and Risk Management
Knowledge of the PRIIPs/UCITs Documents is desirable but not essential
An appreciation of accounting principles is essential, the candidate will be a qualified accountant or part qualified and interested in completing their qualification
Demonstrates initiative in undertaking all processes, which may have an impact on efficiency and client satisfaction
Ability to work in a structured pattern, setting priorities and meeting deadlines

183

CIB F&BM Regulatory Reporting SME Resume Examples & Samples

Develop an appreciation of the regulatory banking and security regime in Asia
Develop knowledge around SAP and SAP integration with BASEL / LRR systems
Develop project management skill sets
Strengthen ones influencing, problem solving, multi-tasking, and relationship management skill sets that are critical in building an all rounded individual
Partner closely with Finance users, Risk Finance Technology (RFT) & external vendor consultants to deliver these strategic regulatory reporting solutions
Provide SME/PMO support to these programs
Partner with Finance stakeholders to define project plan, including scope, timeline, risks, etc
Gather, validate, drafting business requirements and future operating model documents for regulatory projects
Provide Impact Analysis and additional Business Requirements of existing live BASEL / LRR locations upon reviewing “Oracle GL to SAP” Gap Analysis
Review functional specification document, design/build discussions in partnership with Finance users & RFT
Identify areas of improvements, brainstorm solutions to address issues and concerns and propose solutions to improve processes and create efficiencies
Perform Product Validation/Proof of Concept, in partnership with Finance users, RFT & external vendor
Participate & support Finance users throughout the testing phase
Provide guidance to Finance users throughout testing / implementation phase
Provide continuous improvement opportunities through identifying best practices in processes/systems/reference data
Manages ongoing tactical & strategic finance platform enhancements and automations
Experience in checking regulatory reports and performing regression testing. Be able to track testing tasks and issues via Quality Centre is a bonus
Team player with ability to work with colleagues in a collaborative manner, as well as being able to proactively progress multiple tasks independently
Preferably based in Singapore or Hong Kong
Accounting/local regulatory knowledge/project implementation is an advantage
Be flexible to work with APAC team and different time zones across various regions from Australia to India

184

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

Preparation of the quarterly and biannual returns for returns for the following solo regulated entities and their associated UK consolidation groups: JPMorgan Securities Plc (JPMS Plc), JP Morgan Europe Limited (JPMEL), JPMorgan Markets Limited (JPMML), JPMorgan International Bank (JPMIB)
Interpretation of the Regulatory rules which forms the basis of Bank of England and PRA/FCA reporting, and providing regulatory guidance to the business
Preparation of monthly, quarterly and biannual returns for the following solo regulated entities and their associated UK consolidation groups: JPMorgan Securities Plc (JPMS Plc), JP Morgan Europe Limited (JPMEL), JPMorgan Markets Limited (JPMML), JPMorgan International Bank (JPMIB)
Daily monitoring and preparation of capital adequacy and large exposures reports for the above entities
Interpretation of the Regulatory rules which forms the basis of PRA reporting and providing regulatory guidance to the business
Partnership and supporting other Finance areas with their reporting requirements (e.g. recovery and resolution, ICAAP, Pillar 3)
Assist in the Quarter end CoRep cycle for all regulated entities of the Group
A self starter, motivated and able to work with minimal supervision
ACA or ACCA / CIMA Part Qualified or Qualified Accountant – Desirable
Good accounting and finance knowledge –Essential
Familiarity with current regulatory rules (CRD4) and reporting requirements (COREP) from another top tier investment bank - Desirable
Good working knowledge with reporting tool Axiom– Desirable
Proficiency in Microsoft Office – MS Excel , MS Access, Outlook, Word and PowerPoint. – Essential
Good understanding of investment banking products including derivatives / financing transactions – Desirable

185

Regulatory Reporting Resume Examples & Samples

Reporting on Financials, Statistics, Risk, Capital, Liquidity and Funding requirements to the PRA, EBA, BoE, FED, SEC, FINRA and local regulators in APAC (over 20 regulators in 10 countries)
Various global and local Tax functions (VAT, Risk, Compliance, Employment and Wealth, Forecasting) and reporting
FATCA (US and Global requirements such as Crown Dependencies and Common Reporting Standards)
Definition and development of the Regulatory Reporting strategy and the associated technology solutions for Functions

186

Regulatory Reporting Auditor Resume Examples & Samples

Coordinates with the Global Head of Trade Reporting to implement key initiatives, strategic transformation programs and reporting project work for the company
Contributes to overall program and project plans, develops and implements team policies/procedures, workflows, and performance metrics
Facilitates and/or participates in meetings with vendors, consultants, team manager, business and technology teams to identify improvements in existing and design new audit procedures
Applies process design, mapping and industry standards and best practices to define and improve processes
Participates and represents INTL FCStone Inc. in industry working groups to monitor and implement global reporting requirements, repository validation changes and industry initiatives
Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiatives on regulatory reporting
Ability to communicate effectively with key stakeholders, including Management, Finance, Treasury, Regulatory and Compliance, and Technology teams
Monitors current and future technologies in area of audit quality process management
Acts as an agent of change for creating, maintaining and enhancing enterprise audit processes
Troubleshoots production issues with regulatory reporting; identifies issues and coordinates resolution
This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed

187

Regulatory Reporting Junior Analyst Resume Examples & Samples

Key responsibilities will span a number of ongoing business areas as required. Description of role includes, but is not limited to
Coordinate with various business and functional units to complete data gathering or any other detail needed by corporate
Accomplish the existing tied deadlines and prioritize the workflow accordingly
Quality Checks Monthly Quarterly from FRS
Minimum 2 Years’ Experience working in Financial Institution or an accounting environment. Citi experience preferred
English Advanced

188

Reginsight Local Regulatory Reporting China Resume Examples & Samples

Proficient in requirement gathering and analysis, preparation of requirement documentation (preparing BRD, functional specification document, use case, change request, process flow diagrams), use case analysis, gap analysis and User training
Working with solution architect and client subject matter experts, the candidate is responsible for documenting the current state of the business and technical architecture
Keeping track of all the show stopper issues and driving the closure of these issues by working closely with our technology partners
Working closely with country finance, Development teams, Data Center teams, Operations teams to identify and resolve all project dependencies and risks
Effective in on-site/off-shore model and coordination
Should be involved and provide key feedback for building analytic reports. The incumbent will work closely with the business intelligence reporting team in building the state of art business intelligence capability
The candidate should also be experienced with multitasking, balancing tasks with priorities accordingly
The person has to be result-oriented, willing and able to take ownership of engagements
Must have hands on 9+ years experience in Ab-Initio
Overall IT experience of 12 years
9+ years of experience in Banking and Finance domain
Should have exposure of parallel/partitioning concepts, PDL and Continuous flow
Must have strong knowledge on software development life cycle
Must have hands on experience on Netezza
Strong SQL skills with the ability to analyze large volume of data
Possess a very good ability to grasp the underlying business process and ability to work as an individual and in a team
Bachelor’s degree in Engineering
The candidate must possess superior communication skills as they will be interacting with people with diverse skills and seniority
Manage scope of the project effectively
Provide oversight on processes involved
The candidate should have strong analytical skills

189

Regulatory Reporting Coverage Operations Compliance Officer Resume Examples & Samples

Research and analyze applicable rules to provide timely advice in connection with regulatory reporting, products and projects
Provide guidance regarding the design and implementation of controls to facilitate compliance and mitigate risk in regulatory reporting
Provide Compliance support to Operations teams and to Information Technology in the development of systematic enhancements
Develop and deliver training
Work with central Compliance testing teams
Provide support in responding to regulatory inquiries
Work closely with Operations, Information Technology, Legal, the front office, consultants and other areas of the Firm as needed
Strong, relevant regulatory background with a minimum of seven years of compliance or industry experience
Deep level of understanding of technology, including the ability to understand complex trading technologies in order to analyze and extract trading data to respond to regulatory inquiries involving SEC, FINRA, MSRB and Federal Reserve Board rules
The ability to work very effectively within an organization and communicate with junior and senior levels
Series 7 licenses preferred

190

Regulatory Reporting Resume Examples & Samples

Bachelor degree or higher with professional accounting qualification
At least 4-6 years of relevant experience in Banking / Financial services
Experience with MAS, statutory and financial reporting
Prior experience in external audit will be an advantage
Knowledge in Advanced MS Office skills, SAP, Oracle, Peoplesoft, Avaloq

191

Regulatory Reporting Specialist Resume Examples & Samples

Preparation of the BOE Statistical forms
Preparation of the quarterly PRA Mortgage form
Preparation of the half yearly PRA Branch return
Review new business activity and impact on BOE reporting
Review and investigate trends and provide commentary for management
Understand the reporting model infrastructure and implement streamlined process solutions towards a more efficient reporting model
Involvement in other non-BAU tasks, such as projects and policy matters that impact the legal entity and the financial reporting function
Provide ad hoc reporting and analytics when required by management
Knowledge of BOE Statistical reporting preferred but not necessary
Investment banking product knowledge
Understand International Financial Reporting Standards for key product areas (interest rate and credit derivatives, fixed income products)
General accounting, reconciliation and finance knowledge essential, preferably from a Regulatory environment
Experience of a data warehouse system similar to the general ledger used by BNP Paribas
Proficiency in Microsoft Office - Excel, Access, Outlook, Word and Powerpoint
Part Qualified/Qualified accountant (ACA, ACCA, CIMA)
Strong interpersonal and team working skills
Self- motivated and able to work with minimal supervision
Demonstrate strong analytical and problem solving skills
Flexibility to work under pressure to meet changing work requirements and strict deadlines
Ability to communicate effectively at all levels
Strong attention to detail
Previous experience of FRS Global regulatory reporting system, Report Generator would be desirable

192

Rohq-fro-regulatory Reporting Transformation Manager Resume Examples & Samples

Preparation of project plans and implementation schedule for identified transformation initiatives, ie- adoption for Priority 2 products, EMEA migration, legacy process decommissioning, process standardization, etc
Coordination with US Regulatory Reporting Teams and other stakeholders for (a)user acceptance testing, (b) adjustments rationalization, (c) issue escalation, investigation and resolution and (d) standardization projects
Development and reporting of scorecards and metrics to monitor progress and sustainability of transformation initiatives
Preparation of required communications and updates to senior stakeholders
At least 8 years relevant experience in a shared services or financial reporting operations support function, with at least 5 years project management experience
Has the ability to work in a dynamic, high-pressure and fast-paced organization
Looking to establish a career in shared services industry
Graduate of Finance, Accounting or any Business-related courses
CPA, MBA and/or PMP an advantage
Knowledge of financial and management reporting is a plus
Able to drive projects and process improvements - With proven track record in project management as project manager or team lead
Proficient in MS Excel
Has good working knowledge of MS Access
Good understanding of risks and controls
Able to comprehend and express oneself in a conversational and clear manner, both oral and written, using the English language

193

SEC & Regulatory Regulatory Reporting Senior Manager Resume Examples & Samples

SOX Compliance
Equity Related Transactions
M&A Disclosure
8+ Years’ Experience in Financial Reporting with a Publicly Traded Company
Proficiency in SEC Filings Preparation
CPA and/or public accounting experience preferred
Systems Experience: Blackline, Lawson, Hyperion, Excel, Workiva – desired

194

Head of Regulatory Reporting & Treasury Technology Resume Examples & Samples

15+ Years’ experience in implementing and supporting large software systems; understanding business drivers and requirements and providing technological and operational solutions
Broad and comprehensive knowledge of Regulatory environment across multiple geographies, an understanding of financial process and deep knowledge of application design and development
Requires use of conceptual and innovative thinking
Skilled communicator who influences and shapes the image of a function and negotiates with great latitude on outcomes
Frequent interaction with multiple Regulatory agencies on supervisory issues where the Regulator's view often is not in line with Citi's position; diplomacy, tact and persuasion are required in such situations

195

CIB Regulatory Reporting Project Management Associate Resume Examples & Samples

Strong written and verbal communication skills across various levels of the organization
Ability to prioritize and manage multiple concurrent deliverables in an organized manner
Requires the ability to work independently with minimal supervision and the ability to work as part of a team

196

Regulatory Reporting QA Analyst Resume Examples & Samples

Timely and accurate production of key management reports to a global audience of key stakeholders across Operations, Technology and Compliance
Periodic review and assessment of transaction data submitted to the FCA vs. the information captured within internal systems
Investigation and prioritisation of issues arising from the Transaction Reporting process and escalation to management where appropriate
Fostering productive partnerships with key contacts
Identifying enhancements to the technology infrastructure, working in partnership with immediate management team, the - stakeholders, Compliance and Technology to agree prioritisation
Extensive years of experience in a securities or banking role, or in a compliance or regulatory-related function is desired
Previous regulatory reporting experience desirable but not essential
Proven experience developing creative solutions to problems
Previous experience and understanding of technology capabilities
Proven experience working with Microsoft Excel and Microsoft Access
Good interpersonal communication skills which will be required for both internal and external business partners
Able to build effective working relationships quickly and maintain them
Focused on providing a high standard of service to clients
Third level qualification in a financial services or regulatory related subject is desirable but not mandatory

197

Corporate Regulatory Reporting Resume Examples & Samples

Regional Champion for the Global Process Owners that are currently developing the new systems and processes for the Citigroup Finance Transformation
Decision making roles across Mexico to develop strategy, design and execute plans related to the standardization and centralization of the R2R functions including businesses and our Global Share Services locations
Accountable for the execution of the goals and objectives communicated to Corporate Senior Management. Managed teams in different locations and negotiate with differents regional/country leads in Risk, Operations and Technology to accomplish common objectives in partnership with out controllers' organization
Provide functional knowledge in all the Record to Report financial activities performed in Mexico and FRO. Provide feasible solutions to the Regional Franchise Controller, GPOs and Corporate Senior Management in the implementation of nre initiatives, and ot country and FRO in teh BAU day-to-day business activities
Responsible for the Financial and Managerial actuals reported on a monthly basis, which is the support for the information provided to the regulators (10Q/10K) and for the business to determine their plan for the following years
Leader during the execution of key Global Finance Initiatives, which impact is in the day-to-day functions in the Country and FRO organizations to report the financial and managerial results
Frequent negotiation with Corporate Senior Management, Regional Senior Management and peers to execute new initiatives that are part of the Global Finance Transformation
Bachelor's degree in Accounting or other related areas. Master's is preferred
CPA certification preferred
A minimum of 10 years of experience in a Financial Control, Financial Reporting and/or Accounting Role
Comprehensive understanding in US GAAP and MEX GAAP and demonstrated ability to apply such knowledge to practical situations
Strong knowledge in US Regulatory Reporting with a strong accounting background and experience
Lead and structure financial analyses and capable of providing recommendations to Senior Leaders
Strong ability to communicate effectively (orally and in writing), both in English and Spanish
Strong knowledge in Office, Business Objects, Citi Applications: SMART, CRC, APS, Jade, GDW, DSMT, CALM, MARS, Optima, GCBC, FRS, AWS, Genesis, Full Suite, Xborder, P2P, S2, Worflow, CIW
Demonstrate strong leadership, organizational and communication skills
High decision making and problem-solving skills
Proven to track record in building and maintaining relationships internally and externally
Strong leadership, coaching and mentoring skills
Partner and Shared Services Management
Ability to multitask and to meet deadlines/urgency awareness with a strong work ethic
Highly motivated, organized and methodical
Appraise subordinate performance by providing regular feedback to subordinates of their working effectiveness to produce expected results
Ability to lead meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes

198

Senior Manager of Regulatory Reporting Resume Examples & Samples

Manage significant portions of the Bank Regulatory Reporting process, including the timely and accurate filing of the FR Y-8, FR Y-9C, FR Y-9LP, Call Reports and the annual FDIC Part 363 filing, ensuring compliance consistent with the Company’s control environment
Monitor external changes to GAAP and RAP as well as internal changes from business transactions that impact regulatory reporting and execute the regulatory change management procedures, including managing and executing the implementation of new financial reporting requirements
Review the regulatory capital ratios in accordance with regulatory requirements and present the results to senior management
Maintain the documentation for regulatory reporting governance to ensure SOX and regulatory compliance, including regulatory reporting policy, general procedures, business rules and other procedural documentation
Support the Head of Bank Regulatory Reporting in responding to internal requests and external requests from the regulators, including drafting responses to regulator comments
Coach and mentor team members and encourage collaboration and innovation within the financial reporting department

199

Regulatory Reporting Coordinator Resume Examples & Samples

Manage the collation, delivery and storage of CRO’s regular deliverables to regulators. This consists of internal risk reports and MI which our regulators have asked for on a regular (e.g. weekly, monthly) basis. The deliverables cover all risk areas (Market, Credit, Operational Risk), and all regulators (Swiss, UK, US, APAC)
Manage the production of CRO Regulatory Risk Management’s monthly MI pack to all stakeholders across CRO. This consists of discussion of all CRO’s current regulatory interactions, commitments, and regulatory meeting calendar
Manage the Commitments tracker which lists all CRO’s regulatory commitments, including production of bespoke MI to senior governance forums across the bank
Assist with development and maintenance of CRO Regulatory Risk Management’s SharePoint; key communication tool to all stakeholders across CRO on regulatory commitments, rules and meetings
Proven organisation and coordination skills, tracking progress and ensuring delivery
High attention to detail, excellent drafting and English comprehension skills
Ability to produce high quality, accurate work, under pressure and to tight deadlines
Proven IT skills and knowledge of Microsoft Office products – specifically MS Access (including writing SQL), MS Excel (including writing macros and/or VBA) and MS SharePoint (using List functionality)
Although not mandatory, an interest in and knowledge of the risk-related regulatory framework (Basel II/III, Market Risk, Op Risk rules, etc.), would be preferable

200

Regulatory Reporting Developer Resume Examples & Samples

Reporting on Financials, Statistics, Risk, Capital, Liquidity and Funding requirements to the PRA, EBA, BoE, FED, SEC, FINRA and local regulators in APAC (over 20 regulators in 10 countries)
Various global and local Tax functions (VAT, Risk, Compliance, Employment and Wealth, Forecasting) and reporting
Working with other developer, Business Analysts, Architects and Project Manager to develop efficient solutions using primarily Oracle 11g, SQL, PLSQL, Informatica, PERL
Actively participating in developing designs, peer reviews and support testing activities including User Acceptance Testing, System Integration Testing and Performance Testing
Supporting other teams in deploying the solution to LIVE including warranty period

201

VP-bank Regulatory Reporting Resume Examples & Samples

Analyzes new products and specific transactions for financial regulatory control adherence and capital impact,
Provides interpretive guidance on financial regulatory matters to business units within the firm, and
Manage the preparation of the Intermediate Holding Bank (IHC) and subsidiaries (FR Y-9C, FFIEC 009, FR Y-11, FR 2314) to the Federal Reserve Bank
Manage, review in the preparation of the Intermediate Holding Bank (IHC) and subsidiaries CCAR Fixed Form filings (FR Y-14A, FR Y-14Q and FR Y-14M) to the Federal Reserve Bank
Assist in the remaining development of the business architecture required to support the CCAR process across the IHC
Manage the detailed data gap assessment to support CCAR processing and FR Y-14 reporting
Manage the data aggregation across various infrastructure areas within the IHC (i.e. Front Office, Legal Entity Control, Product Control, Risk, Treasury)
The team is responsible for the regulatory compliance with relevant regulations, and provides detailed analysis of the data contained within the filings as well as trend comparisons from period-to-period. The team ensures that there is internal Regulatory data integrity and monitors the compliance with internal and external regulatory limits and thresholds
Provide instructional information and guidance on an ongoing basis to other internal reporting groups to ensure that the information provided by the respective groups is consistent and accurate
Assist in the data aggregation across various infrastructure areas within the bank (i.e. Front Office, Legal Entity Control, Product Control, Risk, Treasury)
Responsible for routine contact with both internal and external auditors
Development of a data quality process and monitoring framework
4+ Years experience working in Banking/Finance industry
Experience preparing, reviewing and submitting various FRBNY filnigs (i.e. FR Y-9C, FR Y-14A, FFIEC 009, etc.)
Experience in investment banking products including complex investments
Experience in previous implementation of CCAR/DFAST process beneficial
Experience in financial and regulatory systems architecture
Strong focus on internal controls
Commitment to meeting deadlines
MBA degree beneficial
Knowledge of AXIOM a plus

202

Avp-bank Regulatory Reporting Resume Examples & Samples

Manages supervisory examinations relating to financial/operational matters,
Produce and file accurate financial information for the regulators
Interact with Legal Entity Control teams to understand & gather relevant information
Manage and assist in the preparation of the Intermediate Holding Bank (IHC) and subsidiaries (FR Y-9C, FFIEC 009, FR Y-11, FR 2314) to the Federal Reserve Bank
Assist in the development of reconciliation framework between the IHC ledgers and regulatory reports FR Y-9C
Assist in the data aggregation across various infrastructure areas within the IHC (i.e. Front Office, Legal Entity Control, Product Control, Risk, Treasury)
Assist in the development of the business architecture required to support Barclays future Intermediate Holding Company’s (IHC) regulatory reporting requirements
Communication, both written and oral, with Federal Reserve Banks to ensure proper compliance and interpretation of regulations
Bachelor of Science/Business Administration degree in Economics, Finance or Accounting
2+ Years experience working in Banking/Finance industry
CPA preferred
Time management skills a plus

203

Cleared Derivatives Regulatory Reporting Control Team Manager Resume Examples & Samples

Managed day to day position reporting obligation for various for MSCO's regulatory reports such as PCS, LOPR, CGM, OCR, etc
Take full accountablilty and ownership of pipeline of reg reporting to be transition from Baltimore to NY and be fully trained
Responsible for assisting Legal & Compliance, Risk, and Senior Ops on Federal risk requirements such as examinations, SOX assessments, process and control reviews, root cause analysis, and other key deliverables set by the Management
Proactively identify regulatory, reputational, or financial risk in current process
Provide support to the organization on audit reviews and manage control-related activities that ensure a sound control environment
Maintain a strong control framework through the on-going development of strategic architecture, identifying key metrics such as KRIs, capacity & constraints, incident reporting and tracking; Assist in tracking manual processes, providing opinions and recommendations on risks and benefits on reg porting process and initiatives
Collaborate with regional management to improve operational risk processes. Take active roleon Run the Bank Projects to assist the management in improving control framework, streamlining processes, establishing new procedures and other initiatives management may require
Build a strong relationship with BU risk management, Operations management, internal and external auditors, Legal and Compliance
RTB (Run the Bank) Reg Reporting functions
Manage short and long term strategic and tactical projects in an effort to reduce Risk
Assist line manager in streamlining procedures by tracking manual processes, and finding opportunities for improvement without systemic solutions
Assist line manager in tracking issues and reconciliation inventories
Lead initiatives and propose solutions to management to enhance control framework, streamline procedures and oversee the implementation of solutions
Strong risk management and control mindset
Individual needs to be performance-driven, proactive, with proven ability to take on challenges, set and execute agenda. Candidate should be a dynamic self-starter with the ability to work either on their own initiative as well as be a solid team player with strong problem solving skills
Ability to evaluate and identify areas of risk across the organization. Identify and implement best practices and in some cases help shape the risk and project agenda
Ability to be flexible. The scope of the role is limited only by the capacity of the incumbent to add value across the wide scope of Global OTC & LD Clearing Operations
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 interpersonal skills to build cross-divisional relationships; gain support and respect from key stakeholders (Business Unit, Operations, FCG , Legal & Compliance)
Good project and modelling skills to represent information in graphical forms that enhance decision-making and communications
Ability to multi-task in a high intensity environment
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
Risk management experience
3+ years of experience in the financial industry and exposure to various Regulatory reporting obligation

204

Consultant, Regulatory Reporting Resume Examples & Samples

Leads the production PRIIPs reporting
Strengthen the control environment for the production of all calculations and documents
Deliver high quality service to customers by accurate, timely completion of all assigned tasks (which may be parts of larger processes) and requests for information
Identified gaps in the existing process to improve and streamline each of the processes and to leverage the Offshore Team where ever possible
Develops and updates procedure documents and checklists as required
Perform reviews of work carried out by the Offshore Team
Build a strong relations ship with clients
Ensuring agreed client service levels and regulatory filing deadlines are met
Assist other colleagues. Act as effective team member within the unit and with other units by imparting knowledge as appropriate. Liaise with other units – Fund Accounting, Client Expenses, Relationship Managers & Fund Managers
Potential involvement in the preparation of Central Bank Reporting returns

205

VP of Bank Regulatory Reporting Resume Examples & Samples

4+ years of experience working in Banking / Finance industry
Previous experience in a Public Accounting and/or Private industry
Experience in Investment Banking Products, including Complex Investments
Solid analytical and problem solving skills
Excellent communications skills (written and verbal)
Experience in previous implementation of CCAR/DFAST

206

Assistant VP of Bank Regulatory Reporting Resume Examples & Samples

2+ years of work experience
Financial and Regulatory Reporting background
Experience with GAAP and General Ledger
Microsoft Excel proficient
CPA or parts passed
Previous experience in the Banking and/or Finance industry

207

Senior BA Finance Statuatory & Regulatory Reporting Resume Examples & Samples

Business Analysis responsibility for the area of Finance, Statuatory & Regulatory reporting to the following regulatory authorities
Strong Banking Know How in Finance/Legal Reporting/Risk Management
Good general technical skills
Process Design
Avaloq Certified Professional
PL SQL skills for analysis purposes
Very good cross platform IT understanding
Expert BA Skills in the area of Finance / Legal Reporting / Risk Management
Preferable CFA or FRM degree
Professional experience in Finance/ Risk reporting

208

Director, Regulatory Reporting Resume Examples & Samples

Lead and manage the FRO CCAR and Quality Assurance (QAT) Reporting and Analytics teams to deliver the required coordination of CCAR Schedules, QAT functions and supporting analysis
Responsible for leading the production of key CCAR analytical reports and insight supporting business and Corporate Regulatory Reporting requirements
Develop a thorough understanding of data sourcing for all CCAR reporting. Become familiar with Citi’s Finance and Risk data architecture (GENESIS, Reg. Insight etc.). Understand the dependencies and controls required to support the data requirements between reports and processes to ensure consistency, accuracy and timeliness
Develop and maintain tactical processes and a sustainable operating model that delivers the variance analysis by business segment / LV
Consult with R2R and CCAR GPO’s to assess the reasonability and completeness of the supporting analysis used to validate the results sent out by the FRO US Regulatory CCAR Reporting Team
CCAR Subject Matter Expert (SME) covering data requirements, systems architecture and analytical tools for the current and next generation of CCAR Reporting
Improve the production and delivery of information through additional automation and enhanced internal control processes
Coordinate and lead migration of related functions while developing a comprehensive understanding of the processes to be transferred. Ensure implementation of a control framework and development and implementation related project plans
Core understanding of US Regulatory Reporting to direct QAT reviews effectively working closely with Corporate Regulatory Reporting
Lead and manage a team of professionals providing mentoring and career development
Drive employee engagement to the next level by actively supporting VOE and other employee initiatives
Lead Drive process improvement and process reengineering initiatives
Embed a strong Controls culture in the area and ensure a state of permanent audit readiness
A solid understanding of the business dynamics and data drivers that impact Citi’s CCAR process is critical for success in this position
Must possess knowledge of system workflows, front-end and management reporting application systems, and knowledge in the utilization of database technology
Candidate should have excellent interpersonal skills that can contribute to building relationships with our stakeholders and within the team. Prior staff management is a core requirement
Extensive US Regulatory experience including CCAR and / or Treasury Liquidity management is a plus
Migration and Project management experience is preferred
Attention to detail and accuracy are essential in addition to strategic thinking skills
Excellent communication skills, team orientation, and ability to work effectively with counterparts in different areas of organization

209

Regulatory Reporting Officer Resume Examples & Samples

Proven experience in Securities and Banking Operations, or in a Control or Regulatory/Compliance function
Previous Regulatory reporting experience preferable
Accuracy and attention to detail imperative
Ability to prioritise
Good communication skills with the ability to be assertive in terms of regulations and procedures
Ability to build and maintain effective networks and relationships;·
Service orientation, professionalism, proactive and strong client/business focus, and accountability

210

Regulatory Reporting Requirements Delivery Analyst Resume Examples & Samples

Bachelor's degree in Finance or Accounting and 5+ years of related work experience
Advanced Microsoft Excel Skills required
Strong interpersonal/communication skills (oral and written) and confidence to work with different levels of management
Excellent analytical background and skill set to understand Basel processes, including system data flows
Able to work with large volumes of data from different sources
Self-motivated with ability to make decisions and maintain a controlled environment
Willingness to work flexible hours or on an Alternative Work Space (AWS) environment
Ability to multi-task, be proactive and goal-oriented
Advanced Project Management skills
Exposure to IT systems development lifecycle
Knowledge and exposure to financial products
Finance or Credit Risk relevant experience preferred
Previous experience with Lean Methodology / Six Sigma
Previous experience with SQL preferred
Previous exposure to Basel or Country Risk
Previous banking products experience or exposure
Previous Exposure to global processes and teamwork across various locations and cultures
Highly influential with multiple stakeholders with no direct oversight
Must be a proactive and goal-oriented strategic thinker, with ability to identify creative solutions
Strong understanding and appreciation of internal control environment

211

GPS Regulatory Reporting Officer Resume Examples & Samples

Maintain list registered contract in GPS
Monitoring outsourcing contract
Handling OSP Scorecard report
Reviewing OSP annually

212

Principal Auditor Bank Regulatory Reporting Resume Examples & Samples

Contribute to risk assessment profiles / business monitoring and the overall implementation of group audit methodology
Undertake audit assignments, draft audit reports for review by management, facilitate issue tracking and validate closure of issues
Complete all work assigned on a timely basis, including ad hoc projects
Develop and maintain broad financial services experience, Bank knowledge and technical expertise
Keep current on business/industry changes and their affect on the audit plan/approach and Risk Assessments
5 to 8 years experience in financial services, with a minimum of 2 years in public accounting preferred
Working knowledge of key financial and bank regulatory reporting risks
Understanding of banking and capital markets products, operations, key banking regulations and general control concepts
Regulatory Reporting knowledge of reports and schedules preferred, i.e., FRY-9C, FFIEC031/041, FFIEC002, FR2314/ FRY-11, FRY-7, etc.
Excellent written / verbal communication skills and be able to communicate effectively at all levels within Group Audit and with stakeholders

213

Regulatory Reporting Technology Delivery Manager Resume Examples & Samples

Experience of leading successful delivery of software change and lifecycle management following a “hands-on” approach
Experience of enterprise class applications and both waterfall and “Agile” techniques
Experience in performing detailed Business Analysis for software development
Experience of delivering regulatory change is a benefit
Experience of leading diverse teams, enabling a ‘one team’ culture and a positive working environment
Experience of stakeholder management and partnership
Functional expertise in one or multiple Markets business asset classes (preferably front office or middle office functions) is beneficial
Strong grounding and proven ability to leverage technology architectures, design and development best practices
History of delivering technology change projects with the appropriate quality, timeliness, stability, cost effectiveness and sustainability
Experience with QA/Test Management is beneficial
Excellent problem solving skills, ability to quickly broker solutions and resolve conflict situations
Excellent written and verbal communication skills at all levels, including ability to communicate effectively with stakeholders from various functions like operations, product managers, business, compliance etc
Enjoys working in an innovative environment as part of a larger team and being a key contributor to its success

214

Regulatory Reporting Technology Business Resume Examples & Samples

Hands-on business analysis experience in software development projects
Experience in producing best-in-class business and function requirements documents for the development teams
Strong FIX expertise
Functional expertise in Equity Derivatives, Listed F&O or Cash Equities asset-classes (preferably front office) is highly beneficial
Excellent problem solving skills and ability to quickly broker solutions
Data modeling expertise is beneficial
Experience of delivering regulatory change a benefit
Experience of being in a diverse team, enabling a ‘one team’ culture and a positive working environment
Experience of stakeholder management and partnership
Ability to leverage technology architectures, design and development best practices
History of building front office data warehouse involving data on-boarding and certification is highly beneficial
Experience with QA/Test Management is beneficial
Project management experience is beneficial
Excellent written and verbal communication skills at all levels, including ability to communicate effectively with stakeholders from various functions like operations, product managers, business, compliance etc
Enjoys working in an innovative environment as part of a larger team and being a key contributor to its success

215

Regulatory Reporting Senior Advisor Resume Examples & Samples

Play an integral role in the development and maintenance of a Regulatory Reporting systems and control framework including the identification and communication of key risks and control gaps within the regulatory reporting process and support the continuous process improvement
Work as part of the regulatory reporting team to aid in defining future regulatory reporting requirements
Work closely with the Bank’s IT function to help develop and implement a robust and adaptable Regulatory Reporting System
Process and deliver statistical and prudential regulatory returns to the Central Bank of Ireland and Bank of Spain on a monthly basis
Production and monitoring of prudential ratios on a daily basis
Responsible for the delivery of responses to queries raised by the banks regulators
Assist in the analysis and implementation of new regulatory requirements impacting the banks and engage in projects regarding implementing these regulatory updates to regulatory returns

216

Accounting & Regulatory Reporting, AVP Resume Examples & Samples

1) General
Support management and team member; ensure changes in the reporting instruction made by the regulatory authorities are incorporated with in the reports submitted
Prepare assigned reports to regulatory authorities with accurate financial information and in a timely manner, and maintain back-up supporting documents
Prepare variance analysis for the reports assigned and understand the meaning and background of the figure changed
Maintain up-to-date knowledge of financial/regulatory reporting requirements, as well as pertinent accounting standards changes within the regulatory reporting framework, propose solutions as needed
Provide back-up support to other staff member and train junior staff, as needed
Review and update the internal procedure for the reports assigned, and create new policies and procedures as necessary
4) Technical Skills Required
5) Management Responsibilities
Minimum 3 years of experience in Financial Accounting or Regulatory Reporting area. Experience in a bank is preferable

217

SEC & Regulatory Reporting Senior Manager Resume Examples & Samples

SEC Filings – GAAP Compliance
Implement New Accounting Procedures
Manage XBRL Detailed Tags
Lead Cross-Functional Teams
A Bachelor’s in Accounting
Outstanding Interpersonal and Communication Skills – the ability to communicate across all level of staff inside and outside the department

218

Gfs-associate VP-regulatory Reporting Resume Examples & Samples

Responsible for planning & evaluating the monthly Financial data to ensure regulatory outputs are produced on an accurate and timely basis in line with the agreed SLA's including calculating and posting of all planned and adhoc adjustments for Credit Risk
Responsible for efficient and accurate monitoring and control of Risk Weight Asset reporting process, supporting the divisional Chief Financial Officers (CFO) in their sign off on Regulatory reports
Good experience in producing regulatory returns like CoRep (Quarterly), Pillar3 packs (Semi Annually) for the PRA in accordance with Basel III norms on the basis of Market Risk / Securitization rules as applicable to the Trading Book
Sound Knowledge of Credit Risk (including Wholesale Credit Risk and Retail Credit Risk)
Knowledge of basel 3 norms especially on leverage ratio and Counterparty Credit Risk
Thorough knowledge of financial products and netting rules applicable as per IFRS and regulatory norms
Implement, and ensure compliance with internal financial and accounting/Regulatory Capital policies and procedures. Seek & Follow Capital policy guidelines to correct the RWA calculations where correct treatment not flowing through Financial Reporting systems
Deliver high quality regulatory Management Information and ad hoc analysis on timely and accurate basis by collating, preparing, interpreting and evaluating Financial data, as required to support management in RWA and other regulatory related decisions
Act as liaison between the Line of Business and External Reporting stakeholders that require analysis and commentary on MoM, QoQ & YoY variances in Capital positions. Highlight and escalate relevant issues in a timely manner to management
Update processes / outputs to reflect required changes to reporting deliverables in response to mandatory or BAU project changes especially with regards to FRANK changes
Maintaining an up-to-date process note repository
7 - 12 years of experience in financial services in reporting
CA or MBA (regular)/PRM/FRM desirable/ Any other certification in Risk / Basel is desirable
Knowledge of Basel II and Basel III, including the key impacts of Basel II & Basel III on the business and the drivers behind this
Sound understanding of Credit risk CRD IV rules

219

Director, Regulatory Reporting Resume Examples & Samples

You have demonstrated your ability to understand complex order routing flows and their impact to downstream systems
You have demonstrated your ability to understand the various regulatory requirements of a broker dealer as it relates to trade and position reporting
You have demonstrated your ability to be an effective leader
You have demonstrated your ability to lead and/or actively participate in projects and drive positive results
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
Your excellent verbal and written communication skills and the ability to present material to senior leaders as well as peers

220

Accountant, Regulatory Reporting Resume Examples & Samples

Coordination with internal stakeholders for information reported (i) within SEC filings for SEC registrants and (ii) within GAAP financial statements for non-public entities, as well as analysis of such information for completeness and accuracy
Preparation of documentary support for all reported information, which includes business data, core financial statements, footnote disclosures, schedules and XBRL tagging, as applicable
Knowledge and experience in external reporting (e.g., standard reporting, ad hoc reporting, slice-and-dice and drill-down reporting) to perform detailed analysis of financial statements
Knowledge and experience in working with general ledgers, industry reconciliation tools and Microsoft tools (e.g. Excel, PowerPoint)
Proficient in Excel, Word, PowerPoint, PeopleSoft/Cubus (or similar general ledger application)
Completion of, or working towards, CPA or MBA highly desired
Experience in financial reporting, SEC reporting or public accounting preferred
3+ years of experience in financial reporting, with SEC reporting preferred
Knowledge and experience working with life insurers financial statements preparation and supervision a plus

221

Regulatory Reporting Resume Examples & Samples

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 and/or lead training programs and identify opportunities for improvement
Participating in Internal Audit (IA) and Regulatory 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
Facilitating ad hoc, special requests and project management
Bachelor’s degree in Finance, Accounting, Math, or related field
Strong knowledge of financial products, specifically derivatives required
Strong managerial/leadership experience needed to effectively lead a review team
7+ years of Finance, Accounting, Risk or Product Control experience, preferably at large financial institution
CPA and/or Audit experience would be an advantage
Strong understanding of current accounting principles, policies and financial institution regulatory reporting, particularly FR Y-14 (CCAR), 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
Data tracing/mining experience preferred
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
Must be highly influential with multiple stakeholders, including Operations, Risk, and Product Control with no direct oversight
Strong Microsoft Office skills including Microsoft Project and PowerPoint to develop project plans and reports/presentations
Strong General Ledger Platforms, Product Processors, and Data Warehouses experience
Must be a proactive and goal-oriented strategic thinker, with ability to identify creative solutions
Ability to multi-task and manage to project plan, demonstrating independent leadership skills
Possess strong team building, planning and project management skills driven by process improvement
Strong understanding and appreciation of internal control environment, reporting, and metrics is required
Willingness to work flexible hours

222

IT Business Analyst for Regulatory Reporting With Axiom Resume Examples & Samples

Perform data analysis by accessing the data using queries or reporting tools, including mapping the business functions to the data and data model, data reconciliations, gap analysis
Develop functional requirements and obtain timely sign-off by all respective parties
A strong knowledge of financial instruments with regulatory experience and reporting/analytical skills
Work closely with business users and IT development team throughout the various phases of the project
Participate in testing along with QA & UAT teams
Document and assist in training of end users on automated Regulatory filings
8+ years of experience with investment banking and regulatory reporting
Experience in Axiom/Business Objects/OBIEE reporting tools is a plus
General Ledger knowledge is a plus
Proven business analysis experience and skills, including business and functional specification
Excellent verbal & written communication and interpersonal skills
Experience in database skills, i.e. Oracle
Proven team player with a flexible approach
Highly motivated; Self-starter
Experience in dealing with offshore and onsite teams

223

SEC & Regulatory Reporting Senior Manager Resume Examples & Samples

Assure SEC filings, including 8-Ks, 10-Qs, 10-Ks, and earnings releases, are accurately disclosed in compliance with U.S. GAAP, SEC and other applicable regulations
Oversee the preparation and filings of the bank’s regulatory Call Reports. Present SEC filings to the Audit Committee of the Board of Directors
Assist in the implementation of new accounting standards to assure compliance with U.S. GAAP at implementation and on an on-going basis. Continuously update expertise and demonstrate thought leadership on the execution of accounting standards important to the bank, particularly those pertaining to financial reporting
Manage XBRL detailed tags for the bank’s footnotes and financial statements, migration between taxonomies, and determination of tags for new disclosures
Lead cross-functional teams, such as the quarterly development of the management discussion and analysis
Participate in company initiatives, such as merger and acquisition related activity, to assist with integration and assure proper disclosure of transactions
If needed, re-engineer existing processes to improve efficiencies and enhance controls in financial reporting. Work collaboratively with Regulatory Compliance regarding revised reporting requirements for Call Reports
Manage the staff’s participation in bank’s business resumption planning, prepare test scripts and provide support in disaster recovery testing
Work collaboratively with all business partners to facilitate execution of HomeStreet’s Strategic Plan
Build strong working relationships with internal control stakeholders throughout the organization
Develop staff through performance management, goal setting, training, and effective employee relations. Build a highly effective team with in-depth knowledge for their responsible areas capable of providing excellent customer service and who act as partners or resources to other groups within the bank if needed. Ensure knowledge depth of each function by extensive cross-training
Minimum of 9 years of financial reporting work experience in a publically traded company
Experience working successfully with all levels of an organization and working with cross-functional business units, customers, and regulators
Ability to create effective written documentation
Hands-on, energetic, organized, team player with proven ability to adapt quickly in a changing environment and facilitate change, multitask effectively and work independently
Must possess sound judgment, good decision-making ability, and a high level of, problem solving and analytical ability
Significant experience in and understanding of banking industry strongly preferred
CPA and/or public accounting experience required
Bachelors’ degree in Accounting preferred

224

Regulatory Reporting Business Readiness Resume Examples & Samples

All Business readiness deliveries are appropriately documented and tracked
Business process changes required to support BAU are understood and documented, R&R agreed, communication & training provided and business readiness checklists developed
Where the reporting of the business activity is not covered by the core solution, adequate compliance solutions must be defined and compliance plans must be put in place and executed to achieve a successful transition to BAU
Performing the required analysis to ensure the impact of the new requirements and of the proposed solution are fully understood
Eliciting business requirements from stakeholders, understanding, documenting and prioritizing them
Working with stakeholders in ensuring the needed level of research is completed to accurately define the solution benefits and risks
Effectively presenting the information needed to facilitate a decision to move forward with the proposed solution
Working with technical teams, business users and support teams to facilitate definition of new operating model and identification and documentation of process changes as a result of the new reporting requirements
Ensuring implementation of solution is appropriately planned (deliverables are defined with adequate milestones, responsibilities are understood, work is budgeted and resourced)
Tracking implementation of solution through to completion (status reporting on milestones, management of risks and issues)

225

Business Process Design & Transformation Lead-regulatory Reporting Resume Examples & Samples

Maximizes the value of Financial Reporting platforms and the work of the team
Works with Agile Coaches and Scrum Masters to achieve best results in delivering high business value iteratively and incrementally
Provides the vision that drives the product
Ensures the team understands the vision / customer needs by describing the requirements clearly and succinctly, at the right level of detail
Continuously steers the project by making numerous decisions around scope and priority; weighing business value and risk to prioritize work
Ensures the team has good user stories and acceptance criteria that drive product development
Reviews the delivered features and provides feature feedback to the team in a timely manner
Is an integrated part of the team (no separation of development team and Product Owner)

226

Bank Regulatory Reporting Consultants Resume Examples & Samples

4-year bachelor degree required; MBA preferred
Minimum of 8-10 years of experience working at a bank or bank holding company
Big 4 or large consulting firm experience is highly preferred
Ability to multi-task, demonstrate a sense of urgency, and meet reporting deadlines
Extensive preparation of quarterly, monthly, and weekly Federal Reserve filings, including but not limited to: FR Y-9C & LP, FR Y-11, FR Y-6, FR Y-10, FR Y-14, FR Y-15, or FR Y-12 ; FR 2004, 2900, 2314, or 2644; and/or FFIEC 031, 041, 009, or 002
Preparation of Treasury International Capital Bank Reports (TIC)
Preparation of financial statements for a bank or bank-holding company
Past participation in a Federal Reserve Bank exam, either as an examiner or while working for a bank or bank-holding company
Experience in legal entity controllership within a bank or bank-holding company preferred
Working knowledge of bank regulatory reporting tools, including but not limited to Axiom
Experience working with external regulators: Federal Reserve Bank, SEC, FINRA, NYMEX
Advanced Excel skills and an aptitude to learn new systems quickly
Complimentary experience in Basel 2.5 or 3 reporting and/or in CCAR or DFAST stress testing is a plus
Business Analysis skills, such as gathering user requirements, developing functional and technical specifications, and writing Business Requirement Documents (BRDs), are a plus
Our Consultants enjoy the flexibility and autonomy to choose the client projects that interest them, while continuing to build professional relationships within our global community of Consultant and business professionals. We offer a comprehensive compensation and benefits package including health and life insurance, a 401(k) savings plan which includes a discretionary company match, employee stock purchase plan, paid personal time off program, professional development and certification courses

227

Regulatory Reporting, Legal Entity Controller Resume Examples & Samples

Books & Records
US Reporting
Bilingual in Japanese and English
2 - 5 years of experience in a similar position in the financial services industry

228

VP-regulatory Reporting Controls Officer Resume Examples & Samples

Daily Trade Reporting Controls (ACT,OATS,TRACE)
Consolidated Audit Trail implementation, review and testing
Analysis and creation of reports from FIS PTC Regulatory Reporting system
Project Management, Scoping and Planning
Participate in various industry working groups related to new rules and regulations
Writing of Supervisory Procedures
Supervision of staff daily controls and regulatory reports
Work on various regulatory projects and create controls necessary to implement new rules and regulations and ensure compliance within those rules

229

Technology Lead for Cash Equities Regulatory Reporting Resume Examples & Samples

Implement and deliver high quality software solutions / components for the Cash Equities Regulatory Reporting platform
Leverage his/her expertise to mentor and coach the team; review code/designs and ensure adherence to standards-
Manage the team and their development tasks end-to-end and take complete ownership of the deliverables (from self and the team)
Demonstrate superior collaboration skills in working closely with other development, testing and implementation teams to roll-out important regulatory and business improvement programs

230

Senior Java Developer for Cash Equities Regulatory Reporting Resume Examples & Samples

Implement and deliver high quality software solutions / components for the Cash Equities Regulatory Reporting platform
Leverage his/her expertise to mentor and coach the team; review code/designs and ensure adherence to standards-
Demonstrate superior collaboration skills in working closely with other development, testing and implementation teams to roll-out important regulatory and business improvement programs

231

Assistant VP-senior Control Analyst Local Regulatory Reporting Specialist Resume Examples & Samples

To develop and implement a strong fin control framework for CIB Banking and non-Banking entities (such as Broker/Dealers entities),
Good understanding or knowledge of SOX/FDICIA requirements and familiarity with COSO framework
Solid understanding of financial instruments and developed skills in analysis of business supporting processes from financial reporting control perspective
Strong organizational skills, rigorous, and self-disciplined
Attention to detail and commitment to maintaining a strong control environment
Good communication skills, (i.e. writing, listening, presentation)
Advanced technical skills (i.e. MS Word, Excel, PowerPoint, Access)

232

Accountant Regulatory Reporting Resume Examples & Samples

Preparation of daily and monthly account reconciliations and reporting
Preparation of balance sheet certifications
Preparation of annual GAAP financial statements and related disclosures
Preparation of external and internal audit support
Research and resolution of system issues
Prepare mortgage loan and alternative investment disclosures in the 10-K, 10-Q, QFS, and stand-alone audited financial statements for on a GAAP & Statutory basis
Prepare mortgage loan and alternative investment disclosures for the US Treasury and rating agencies
Analyze business critical data and recommend improvements, and develop accurate and timely ad hoc reports
Respond to questions from external and internal auditors, front office and financial reporting
Bachelor’s degree in Accounting, Finance or other related fields
5+ years of experience in a public or private company environment
Completion of or progress towards CPA or MBA preferred
Knowledge of GAAP & Statutory accounting
Organizational skills and ability to track various issues at one time
Alternative investment, mortgage or separate account experience preferred
Experience with financial reporting systems (SAP, PeopleSoft and Hyperion preferred)

233

Accountant, Regulatory Reporting Resume Examples & Samples

Prepare mortgage loan and alternative investment disclosures in the 10-K, 10-Q, QFS, and stand-alone audited financial statements on a GAAP & Statutory basis
Prepare Statutory Blue Book investment schedules
Analyze and validate data from internal and external sources
Develop accurate and timely ad hoc reports
Analyze business critical data and recommend improvements
Work with stakeholders to develop and document business requirements
Maintain accurate, meaningful and updated technical and non-technical documentation pertaining to all aspects of responsibilities
Respond to questions from external and internal auditors, front office and financial reporting teams regarding mortgage loan and alternative investment related items
Implement new accounting pronouncements or disclosure requirements
Advanced Microsoft Excel skills (macros, pivot tables and advanced formulas)

234

Derivatives Regulatory Reporting MI & Control Resume Examples & Samples

Log, manage and respond to Client Queries for given asset class using JIRA tool and various in-house systems and applications
Cooperate with asset class leads in London and New York and subject matter experts in Poland in order to effectively respond to queries
Provide regular MI on client queries (to be used as critical metric and KRI indicator)

235

Regulatory Reporting Operation Analyst Resume Examples & Samples

Closely work with the production team in charge of OTC Reporting
Perform regulatory reporting daily/weekly tasks under the supervision of the production team leader
Attend and contribute to the daily whiteboard meeting with the rest of the team- Closely work with the Project Managers in charge of OTC Reporting implementation in order to adapt the production process to the upcoming changes
Contribute to the optimization of existing process to produce/monitor the compliance with the regulation using productivity tools (Excel macro/MS Access…)
Participate to investigation and ad-hoc analysis with IT
Documentation of operational procedures and process

236

Regulatory Reporting Production Manager Resume Examples & Samples

Prepare Comprehensive Capital Analysis Review (CCAR) FR Y-14 Q and M (Quarterly and Monthly) regulatory reports
Perform report analysis and reconciliations to ensure accurate and timely filing to the Federal Reserve Bank (FRB)
Produce production work papers; conduct analysis of financial results to ensure work papers are in line with business expectations; and coordinate requests for information from data providers and lines of business
Lead the research and implementation of new and revised FR Y-14 Q&M regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions
Communicate the reporting and data needs to business partners
Prepare and maintain current, accurate, and detailed standalone desktop procedures in a standard that meets the regulatory standard. Manage and coordinate multiple cross-functional regulatory reporting efforts impacting the Bank’s Controller’s, Risk, IT (Information Technology) and line of business groups
Managing and providing guidance to Regulatory Reporting Analyst to produce regulatory reporting supporting documents, reconciliations and quantitative analysis to ensure complete and accurate regulatory reporting filing
Recommend procedural changes and process improvement opportunities to streamline the Bank’s regulatory reporting processes, anticipate problems and enhance the accuracy, completeness and timeliness of the reporting process using SQL; Apply process controls and data governance principals
Provide status updates to the Regulatory Reporting Director and Project Managers; Execute selected process enhancements and remediate management-identified issues Complete ad hoc regulatory reporting FRB inquiries and projects; including participation in the regulatory reporting automation project
Manage and provide guidance to staff / Reg. Reporting analysts
Bachelor’s Degree in Finance, Economics, Accounting or a related field is required
Minimum 7+ years related experience, including a minimum of 5 year’s experience in finance, accounting and reporting functions. CPA / Chartered Accountant, with public accounting experience and banking industry experience is strongly preferred
Exposure to regulatory reporting (particularly CCAR FR Y-14 Q&M schedules), internal controls, data management, and governance concepts desired
Good understanding to FR Y 9C is highly desired
Ability to work effectively in a team environment to meet tight filing deadlines
Excellent communication skills (both written and verbal) and interpersonal skills
Solid ability to manage multiple priorities and cope with moving targets
Knowledge of banking / financial services industry and financial products (Retail loans, Wholesale Loans, securities)
Proficient in Microsoft suite of products - Word, Excel, and PowerPoint

237

Regulatory Reporting Junior Analyst Resume Examples & Samples

Validate Financial US GAAP on a Quarterly basis to build Regulatory Reports (Medium to high Complexity) applicable to a business or Country
Quality Checks Monthly variance from FRS
Minimum 4 Years’ Experience working in Financial Institution or an accounting environment. Citi experience preferred

238

Regulatory Reporting Contractor, Finance Resume Examples & Samples

Support queries and additional information request from regulators
Perform back up functions within regulatory reporting team and Local Finance team
Contribute to BNPP internal permanent control framework

239

Regulatory Reporting Officer Resume Examples & Samples

Minimum 5 years foreign bank regulatory report working experience or audit experience relevant to regulatory reports in audit firm
Good knowledge in banking products financial reporting and accounting treatement
Excellent in both oral and written English, and Mandarin
Good excel and PPT skill

240

Finance Regulatory Reporting Resume Examples & Samples

Proven years of experience in finance for financial institution
Knowledge in securities business and local regulatory requirements
Excellent stakeholder management
Proficient in the Japanese language

241

Regulatory Reporting & Monitoring Analyst Resume Examples & Samples

Experience in an Operations Control Environment
Strong analytical skills with an ability to understand complex workflows
Proven ability to organised and priorities own workload and drive results
Flexible, proactive and self-starting individual with high levels of ownership
Strong interpersonal skills together with the ability to influence others and make decisions
Experience with regulatory reporting
Working knowledge of trade lifecycle
Working knowledge of tradable financial products, e.g. equities, fixed income, exchange & OTC traded derivatives

242

Manager Records Regulatory Reporting Oversight Resume Examples & Samples

Supervise a team of 3 Analysts in the Records & Regulatory Reporting Oversight area
Act as Business lead & primary point of contact for strategic vendor engagements enhance operating model to improve data formatting and optimize reporting output
Oversee monthly Qtrly testing and data analytics of select reporting faculties to baseline results against industry & firm benchmarks develop work streams to remediate findings and implement recommendations
Host bi-weekly stakeholder forum covering key issues, active remediation and program governance
Prepare monthly executive decks highlighting accomplishments, key areas of risk, progress against goals and key departmental reporting and performance indicators
Monitor regulatory/legal landscape and advise Senior Management of key issues, evolving risks and legislative/regulatory matters of interest
Assists with development and maintenance of enterprise records training modules and facilitates Qtrly “Lead & Coordinator” educational forums
Partner with cross-functional teams to develop & deploy project plans in support of departmental initiatives serve as co-business lead for records retention and legal preservation hold build-out
Develop records testing program to ensure compliance with required “Books & Records” obligations
Assist with pre-conversion discovery in support of programmed integration of Options House
Act as primary Business lead for internal audits and external regulatory examinations develop and oversee implementation and testing of prescribed management action plans

243

Coo-wm Ops-head of Regulatory Reporting Resume Examples & Samples

Conduct review all regulatory reporting requirements to ensure compliance with regulation in each jurisdictions
Ensure that all new regulations and changes to existing regulations are identified and properly assessed for their impact to the bank
Provide assurance that effective processes and controls are in place to manage and perform the Regulatory Reporting tasks
Work collaboratively with team members, regulatory leads within Business Units, other colleagues involved in regulatory policy and external contacts to drive policy conclusions and implementation and ensure consistency of regulatory policy approach
Liaising closely and working collaboratively with counterparts in other regions to ensure consistency and harmonization of approval on global issues
Escalate issues / red flags identified, which may result in late or incorrect regulatory submission to senior management for resolution and remediation
Participate in methodology reviews and implementation of any methodological changes
Participate in system enhancement IT and support process improvement projects
Strong operations experience with in a banking / financial sector, preferably familiar with the regulatory reporting
Good understanding of HKMA / MAS / SFC requirements
Good analytical skills, flexible regarding production problem solving
Ability to work in virtual teams and in a matrix organizations
Ability to work within tight deadlines and to prioritize
A broad knowledge of Private Banking, capital market and global securities industry rules
An independent and proactive worker with good communication skills
High attention to details and good time management skills are essential

244

Analyst Quality Assurance Over External Regulatory Reporting Resume Examples & Samples

Quality Assurance over Financial Regulatory Reporting
Coordination and documentation of AM’s quarterly Management Representation Letter and Control Affirmation process
3-5 years experience in Auditing, Accounting, Internal Control and/or Finance
Working understanding of operational risks and related controls
Strong skills in time management, problem solving, written and oral communication
Works well individually and in teams, shares information and supports colleagues

245

Associate, Regulatory Reporting Resume Examples & Samples

Production of MI packs including business commentary for stakeholder sign-off
Help embed change within the team and ensure improvements are completed on a timely basis
Highlight and escalate relevant issues in a timely manner to management
Support where franchises require analysis and commentary of the business’ capital position, particularly around RWA’s
Update processes / outputs to reflect required changes to reporting deliverables in response to mandatory or BAU project changes
Finance post graduate, B.Tech, CA, MBA. PRM/FRM desirable
3 years of experience in financial services in reporting with mortgage reporting background
Ability to understand and identify key issues from both summary and detailed data and understand and implement changes and communicate to various stakeholders
Prior experience of working in a globally distributed team in a leading bank
Working knowledge of MS Access

246

Compliance & Regulatory Reporting Resume Examples & Samples

Responsible for the production and submission of reports and Revenue returns across EMEA region
Equity Reporting (EMEA) / P11D Analysis & Reporting / PSA Analysis&Reporting
Netherlands Labor Cost Analysis&Reporting
Monthly Equity tracking /Guidance&Instruction to EMEA Payroll Team
Global Mobility & Expat Reporting
Responsible for Regional compliance across the EMEA region by reviewing and monitoring existing procedures, controls, and practices to ensure compliance with assigned countries within a region as they related to legislative updates, policies, tax & other payroll-related laws and regulations as well as other corporate required activities (e.g.SOX404)
Performs or directs regulatory reporting and remittance requirements are appropriately addressed. Monitors for and interprets new or changes to statutory requirements and implements modifications to existing payroll processes
Reviews work of others and handle the more extensive, complex, and high-profile work. Reviews payroll production activities (e.g., net pay, payroll reconciliations) to ensure accurate and timely tax/year-end and general ledger reporting for assigned regional payrolls
Evaluates current systems and/or vendors and implements efficient operational procedures for payroll related processes. . May lead/manage HR system or Payroll implementations and other payroll projects and process improvements for assigned country/regional payrolls
Responds to more complex payroll inquiries and resolves highly sensitive payroll issues from all levels throughout the organization for assigned country/regional payrolls
Responsible for input or review of country/regional metrics for assigned country/regional payrolls and any other applicable and/or requested management reports. Reviews and provides updates for assigned country/regional payroll information used by employees/HR areas (e.g., portal content)
Responsible for direct interaction, partnering, and leading meetings with other areas of HR (e.g., Compensation, Global Mobility), Finance, Procurement, Tax, Legal, and internal/external auditors. Advises and consults other areas (e.g., HR, Finance) on payroll/tax impact of proposed policy or programs

247

Citibank Berhad Kl-local Regulatory Reporting Officer Resume Examples & Samples

Minimum of 3-6 years of work experience as a finance professional in either a bank, financial institution or accountancy firm with direct responsibility for reporting or audit work of financial institutions
CPA qualification or experience in Banking is a plus
Local regulatory reporting experience is a plus

248

Associate VP-bank Regulatory Reporting Resume Examples & Samples

Bachelor's degree in accounting
5-10+ years of related experience, including 3 years of experience reviewing regulatory reports
Experience with data enhancement / data quality projects
Experience with database management, data sourcing, and application testing
Proficient knowledge of US regulatory reporting requirements, external reporting control concepts, and financial services related products
Proficient knowledge of GAAP and/or IFRS
High level degree of proficiency in Microsoft Excel and database systems used in financial reporting
Ability to quickly understand complex subject matter and demonstrate critical thinking
Regulatory Reporter / Axiom experience

249

Manager of Regulatory Reporting Resume Examples & Samples

Manage a team of 6-7 analysts
Interact with Regulators periodically on exam related items
Cross-train in the preparation and analysis of other government reports prepared on a more frequent basis and in the compilation and review of financial data required in offering circulars related to the issuance of debt
Oversee the implementation of new/revised reporting requirements established by the FRB, OCC, FDIC, etc. Analyze implications to KeyCorp and provide management with insightful analysis
Support the financial information needs of other departments (e.g., Investor Relations, Law Group, Public Affairs, etc.); develop strong internal partnerships
Maximize the use of automated technology to achieve the highest level of quality and efficiency in the preparation of regulatory reports
Lead the training of new employees in the department
Thought leader; leverages deep knowledge of the business to offer holistic solutions design strategies that improve organizational performance
Superior verbal and written communication skills coupled with the ability to work and communicate with personnel at all levels in the Corporation, including LOB executives
Excellent accounting skills and knowledge of GAAP and RAP
Action oriented; takes initiative to challenge current processes and implement change
Proven team player, willing to assist others as needed to ensure that group deadlines are met and quality standards achieved
Proficient in Microsoft Office Suite (Excel, Access and PowerPoint)
Banking accounting or reporting experience

250

Avp-regulatory Reporting 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 (55%)
Support the team in establishing a robust capital reporting framework and data infrastructure to facilitate business management in an efficient and effective manner. Build flexibility into the system to move in step with business demands, as well as, regulatory requirements
Develop and monitor a comprehensive set of key capital indicators. Develop cluster/ business line diagnostics to assess, quantify and mitigate risks in these areas
Provide support to the team in decision support and analytics for policy monitoring across all products and regions
Running the Group Regulatory reporting timetable, ensuring all external deadlines are met without fail
Engage with regulators and auditors to ensure compliance and proper representation of our policies/ practices
Manage governance process and ensure compliance at the Cluster and Group level
Stakeholder management and leadership (10%)
Working with Financial Control to ensure consistency of data within statutory and regulatory numbers
Develop strong working relationships across the Clusters, Group Risk and One Finance to ensure alignment of priorities and to influence change/ improvement
Establish regular communication mechanisms to facilitate sharing of best practices, alignment of practices, implementation at pace, and allocation of tactical support as needed
Liaison with the Regulatory Policy team to ensure adherence to the regulatory rules
Responding to ad-hoc information requests from senior management and Investor Relations
Decision making through articulating the implications for risk taking and impacts to reg. (10%)
Develop and maintain expert knowledge of nature and direction of relevant business areas (especially around any commentary required or provided by relevant business area and key risk drivers of business)
Support ad hoc projects, for example, resolution and recovery planning, stress testing and various regulatory requests
Project participation (30%)
Demonstrate an understanding of the End to End Project Life Cycle including documentation, User acceptance testing (UAT) and implementation
An understanding of Business Requirements (BR) documentations and Change Requests (CRs) for regulatory reporting platform AXIOM
Review and sign off of mapping documents, test cases and expected results for multiple deliverables ( CoRep/FCA returns)
Timely escalation of issues and risks to the Project team ensuring robust risk mitigation strategies
SME input to support various transactions
React to regulatory change relating to external disclosure or return requirements
Projects may be either specific to the Regulatory Reporting department or strategic projects across Finance as a whole
Support adhoc projects including resolution and recovery planning, structural reform, stress testing and various regulatory requests
Documentation management (5%)
Maintain relevant procedure notes, control logs and documentation as required under the Governance framework
Risk and Control: Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards
Basic Qualifications
Regulatory Reporting experience ( Taxonomy changes in particular)
Knowledge of SAS, AXIOM and XBRL is essential
Good understanding of banking, with some experience or specific relevant qualifications
Ability to take ownership and responsibility, proactively managing work through to completion
Able to effectively cope with the demand of having multiple deliverables to execute within a short timeframe
Strong excel skills with the ability to work with large volumes of data
Excellent attention to detail, with strong focus on stewardship, taking processes and improving them
Proactive approach to problem solving and change
Excellent written and verbal communication skills, expresses thoughts and ideas in a structured and logical way
Strong interpersonal skills and stakeholder management
Preferred Qualifications
Qualified accountant or suitable experience if not qualified
Good understanding of CRD IV requirements, CoRep and Pillar3 disclosures

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