Regulatory Reporting Associate Cover Letter

In response to your job posting for regulatory reporting associate, I am including this letter and my resume for your review.

In the previous role, I was responsible for training and mentorship for staff on the company’s regulatory reporting policies and procedures, and documentation standards.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience with data analytics over large data sets, understanding the detail and identifying possible issues with accuracy, completeness
• Strong analytical and organizational skills, including the developing and tracking of project plans
• Abilty to make sound decisions, including escalation when appropriate, in regard of tax or regulatory risk
• Excellent attention to detail and interpersonal skills
• Demonstrated experience in the Financial Services/Funds industry
• Ensure regulatory reports like (but not limited to) CoRep, Motrgage, Pillar 3, Market risk, are accurate, timely and in line with SLAs
• Calculation and posting of recurring and ad hoc adjustments related to Risk Attributes, regulatory interpretations of various returns and RWA – both Banking and Trading Book
• Hygiene factors maintained at all times – Risk and Control issues, Standard Operating Procedures, Resource planning, KPIs

I would like to submit my application for the regulatory reporting associate opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for leadership and direction around implementation of regulatory rule and reporting changes including infrastructure and operating model development.

Please consider my qualifications and experience:

• Daily management of the Regulatory Reporting team
• Identifying any risks in management of the deals and implementing measures to address
• Managing exceptions in the dealset internally and at the regulatory repository
• Investigation and resolution of reporting exceptions
• Working with stakeholders across business, compliance and operations to ensure reporting requirements are met
• Delivery of project work to meet changes in regulatory rules
• Extensive experience across back office operations in a comparable organisation
• Extensive experience of various products and functions including detail knowledge of at least one specific asset class

In response to your job posting for regulatory reporting associate, I am including this letter and my resume for your review.

In my previous role, I was responsible for guidance on the integration of internal controls into regulatory processes and systems to senior level management.

Please consider my qualifications and experience:

• Strong Excel skills with knowledge of various functions, Word and Power Point
• Preferably with a Regulatory or Audit background
• Build a wide network by partnering with Front Office, Trade Processing, and Reg Ops technology teams, Operations and Compliance, to implement and support the firm's regulatory commitments
• Develop regulatory reporting processes capable of publishing accurate and timely information, and respond rapidly when supporting the processes in the production environment
• Manage the governance of the external reporting which is laid out in the FCA Handbook SUP 16.12 Integrated Regulatory Reporting where the report is produced by a team other than the UK Regulatory Reporting team
• Provide ad-hoc analysis and challenge status-quo
• Work closely with colleagues in Risk, Finance and Technology
• Knowledge on regulatory compliance such as Basel II / III, CRDIII/IV, preferred

Please consider me for the regulatory reporting associate opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for regulatory Affairs support during internal and external audits and assists in the development of best practices for Regulatory Affairs processes.

My experience is an excellent fit for the list of requirements in this job:

• Audit Technology background
• Good knowledge of European/German regulatory rules
• Understanding of investment banking products including derivatives / financing transactions
• Proactively takes the lead to ensure actions and discussion moves forward
• Anticipates problems / obstacles and understands the ramifications
• Challenges assumptions, proactively looks for ways to enhance and develop processes and procedures, creating a dynamic risk management culture
• Familiarity with listed derivatives EMEA regulatory framework
• Knowledge of listed derivatives

I submit this application to express my sincere interest in the regulatory reporting associate position.

Previously, I was responsible for guidance to business unit personnel, Agents and Field Managers regarding internal regulatory reporting procedures, FINRA Rules relating to Form U4, and regulatory inquiries.

My experience is an excellent fit for the list of requirements in this job:

• Evidence of successfully managing international teams through significant business change
• Evidence of achieving demonstrable cost savings through initiating and delivering complex business improvement / process re-engineering projects
• PRINCE2 experience / preferably certification
• Strong relationship building and team building skills
• Produce formal reports to senior Federation managers on assessment findings due to incomplete or inaccurate data, documentation and control gaps, and add value to the organization by tracking remediation through to closure
• Proficiency in English and Chinese languages
• Knowledge of vendor reg reporting solutions such as Hundsun
• Knowledge of scheduling solutions such as Autosys