Firmwide Regulatory Reporting & Analysis Job Description

Firmwide Regulatory Reporting & Analysis Job Description

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Firmwide regulatory reporting & analysis provides support in the monthly financial accounting close; assessment and application with SEC/FINRA rules; monthly external regulatory reporting and management reporting.

Firmwide Regulatory Reporting & Analysis Duties & Responsibilities

To write an effective firmwide regulatory reporting & analysis job description, begin by listing detailed duties, responsibilities and expectations. We have included firmwide regulatory reporting & analysis job description templates that you can modify and use.

Sample responsibilities for this position include:

Execution of analytical controls, firmwide variance analysis across product’s reporting
Develop and produce program reporting and tracking documentation, including multiple work streams across products
Provide thought leadership on processes, specifications, approach
Monitor the evolution of firmwide resources, tools, technology and support the development of best practices
Lead the design and implementation of one or multiple critical project workstreams
Run ongoing CCAP central team functions
Execute initial and ongoing CCAP central team functions
Review and provide input into core project deliverables– charter, plans, business requirements, functional specifications, status reporting, training
Assist in developing an operation model with the appropriate controls such as data validation, reconciliation, standard operating procedures
Hold project status meetings specific for report and schedule owners to focus on areas that impact the business such as risks and issues, action items

Firmwide Regulatory Reporting & Analysis Qualifications

Qualifications for a job description may include education, certification, and experience.

Education for Firmwide Regulatory Reporting & Analysis

Typically a job would require a certain level of education.

Employers hiring for the firmwide regulatory reporting & analysis job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Finance, Accounting, MBA, Economics, Systems Engineering, Technology, Finance/Economics, Management, Business Analytics, Engineering

Skills for Firmwide Regulatory Reporting & Analysis

Desired skills for firmwide regulatory reporting & analysis include:

Balance sheet
Direct experience in external reporting related processes
External reporting control concepts
Financial services and related products
Income statement and basic accounting concepts
MS office applications
Specifically with reconciliations
Summarizing and formatting data
US Regulatory and SEC reporting requirements
Excel

Desired experience for firmwide regulatory reporting & analysis includes:

Bachelor’s degree required, Finance, Accounting or related field
Minimum of 4 years of experience in a finance
Prior Planning or CCAR experience preferred
Bachelor's degree in computer science, information technology, or an engineering discipline
Manage end-to-end lifecycle for Issues and APs ensuring that action plans appropriately mitigate risks
Manage FRRA Control Forum meeting and materials

Firmwide Regulatory Reporting & Analysis Examples

1

Firmwide Regulatory Reporting & Analysis Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of firmwide regulatory reporting & analysis. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for firmwide regulatory reporting & analysis
  • Perform Access Management /Certification
  • Manage Record Retention processes
  • Perform monthly control checks on FRRA owned shared drives and SharePoint site access
  • Manage Business Resiliency strategy including Business Continuity Plan (BCP) and Business Impact Assessment (BIA)
  • Coordinate FRRA Rep Letter Checklist submission
  • Maintain Sworn document inventory
  • Manage 1 Associate/Analyst level employees
  • Ensure that projects are delivered with the expected levels of “controls” – reconciliation, operating models, completion of standard operating procedures
  • Ensure report integrity and filing with regulators, compliance with firmwide policies and standard operating procedures
  • Actively engage in the execution of Firm-wide Control Programs including Risk and Control Self Assessments (RCSA), Sarbanes Oxley (SOX) , and CCAR CFO Attestation Program (CCAP)
Qualifications for firmwide regulatory reporting & analysis
  • Has initiative and accountability – must be a self-starter and able to build and manage relationships across locations
  • Knowledge of, or direct experience in, Agile and JIRA a plus
  • Work with LOB Operations to identify key controls in place to support the accuracy of transactional and reference data captured in JPM systems relied upon for external financial reporting
  • Assess the adequacy of controls in place at point of origin and work with LOB operations to close control gaps identified thorough enhancement of LOB quality control and quality assurance processes
  • Work across LOB Operations and External Financial Reporting Quality Assurance to maximize the effectiveness and efficiency of Quality Assurance processes that support the integrity of external financial reporting
  • Executive Director level, including a minimum of 10 years relevant experience
2

Firmwide Regulatory Reporting & Analysis Job Description

Job Description Example
Our company is looking to fill the role of firmwide regulatory reporting & analysis. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for firmwide regulatory reporting & analysis
  • Participate in Internal/External Audit requests
  • Update and maintain FORCE system with all control program related details, as required
  • Assist in the production and review of Operational Risk metrics for scorecards, presentations, BCC meetings
  • Partner with SMEs to complete Issues/Actions Plans, ITT DQM issues
  • In partnership with stakeholders, evaluate and perform an end-to-end analysis of the business’ risk and control environment to identify significant gaps and weaknesses and determine root cause of control breaks
  • Ensure that controls are properly designed, operating effectively, and essential to a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
  • Contribute to the development and enhancement of the business control environment through execution of the Risk & Control Assessment (RCSA)
  • Lead or participate in monthly/quarterly meetings with business partners based on a control agenda
  • Implement Corporate or LOB policies, procedures, or other initiatives related to control enhancements and best practices
  • Manage execution of strategic initiatives and projects as needed for assigned functions
Qualifications for firmwide regulatory reporting & analysis
  • Minimum of 10 years experience in a finance, capital management, or risk function preferred
  • Ability to take initiative and drive large projects to successful completion
  • Bachelor's degree in finance, accounting or equivalent field required
  • Experience with financial system development preferred
  • Experience with SharePoint and Agile a plus
  • Executive director level or equivalent experience
3

Firmwide Regulatory Reporting & Analysis Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of firmwide regulatory reporting & analysis. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for firmwide regulatory reporting & analysis
  • Issue / Error Management programs for assigned functions
  • Identify and execute process improvements to the existing operating model, tools and procedures
  • Act as an interface with Control partners, ensuring compliance with risk and controls policies
  • Partnering with projects team through the full project life cycles impacting International Regulatory Reporting
  • Represent D&PA in senior management forums when needed
  • Participate in various aspects of the production of monthly, quarterly, semi-annual and annual reports filed with various regulatory agencies
  • Develop and implement various control procedures and edit check to ensure the integrity of reported financial results
  • Participate in the execution of key projects regarding specialty areas
  • Participate in release related testing and implementation work
  • Develop an understanding of and support JPMC’s quarterly regulatory requirements and processes
Qualifications for firmwide regulatory reporting & analysis
  • Competency in spreadsheet and database software
  • Prior experience working in regulatory reporting and interpretation strongly preferred
  • Bachelor's degree in accounting, finance or equivalent (CPA and/or Master's a plus)
  • Bachelor’s degree required, Finance, Accounting or related field preferred (3-5 years of relevant experience)
  • Extended working hours will be required during peak periods including some weekends
  • CPA / Big 4 Experience a plus
4

Firmwide Regulatory Reporting & Analysis Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of firmwide regulatory reporting & analysis. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for firmwide regulatory reporting & analysis
  • Support the build-out / automation and user acceptance testing (UAT) of the reporting tools (e.g., FRI and Axiom)
  • Assist in the analysis and enhancement of the quarterly reconciliation controls between the FFIEC 009 and FR- Y9C
  • Assist in the development of Variance Analytic Framework for all schedules that require variance commentary delivered to regulators
  • Support team with initiatives to continually improve and enhance reporting process
  • Develop an understanding of and support JPMC’s monthly, quarterly and annual regulatory requirements and processes
  • Assist in the analysis and enhancement of the quarterly reconciliation controls between the FR 2510 and its anchor reports (FR Y-9C, FR 2436)
  • Implement process automation solutions across the business using internal and third-party tools
  • Drive process discovery through partnerships with key stakeholders in the business
  • Follow established project lifecycle from end to end to deliver timely, efficient and fit-for-purpose solutions
  • Engage partners such as FRRA process owners, Robotics and Process Automation center of excellence teams, and Control partners while working through the established project lifecycle
Qualifications for firmwide regulatory reporting & analysis
  • Firmwide Regulatory Reporting and/or Basel Capital reporting related experience preferred (but not mandatory)
  • Banking product knowledge with an understanding of how they are reported in Y-9C/Call/2886b preferred (but not mandatory)
  • Ability to independently and structurally acquire knowledge for areas he/she do not have prior experience with
  • CPA a plus (but not mandatory)
  • Experience with GL and/or reporting platforms a plus
  • Experience with control programs including RCSA, SOX, and/or CCAR, a plus
5

Firmwide Regulatory Reporting & Analysis Job Description

Job Description Example
Our company is hiring for a firmwide regulatory reporting & analysis. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for firmwide regulatory reporting & analysis
  • Collaborate with system / data owners and business project teams to improve overall data quality and implement tactical solutions to automate repetitive, manual data clean-up and aggregation work
  • Communicate summary of analysis and findings thoroughly and succinctly (summary of facts, data sources, analyses performed, conclusions, and recommendations) to various stakeholders, including executive leadership
  • Be responsible for BAU governance activities spanning from data sourcing, data validation and completeness, adjustments processing and performing reconciliations
  • Effectively collaborate with multiple stakeholders across geographical regions on deliverables
  • Participate in full life cycle of projects starting from requirements, design, testing & Implementation
  • Ensure strict adherence to internal risk, control policies & procedures
  • Drive completeness and accuracy of data through data sourcing, data validations, data adjustments, and data reconciliations
  • Identify and promote process improvements to the existing operating model, tools, and procedures
  • Be responsible for providing accurate response to JP Internal/External audit
  • Knowledge of Regulatory reporting/SEC reporting
Qualifications for firmwide regulatory reporting & analysis
  • Strong US GAAP or IFRS accounting knowledge required
  • Relevant U.S. regulatory reporting knowledge preferred
  • Prior big 4 accounting experience desired
  • Banking product knowledge desired
  • Outstanding ability to solve problems with the ability to exercise balanced judgment and a keen attention to detail but also the ability to see the "bigger picture"
  • Experience in managing a Team which includes providing direction, instruction, and guidance to Team members

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