Global Compliance & Reporting Job Description
Global compliance & reporting
provides analysis on current IT projects through various project management tools and Microsoft products (SharePoint, Excel, etc.).
Global Compliance & Reporting Duties & Responsibilities
To write an effective global compliance & reporting job description, begin by listing detailed duties, responsibilities and expectations. We have included global compliance & reporting job description templates that you can modify and use.
Sample responsibilities for this position include:
Function as a key contributor with demonstrated knowledge of Quality Assurance, Employee Compliance and Regulatory Reporting operations, broader functional knowledge
Preparation of materials for reporting to LCD senior management, regulators, Global Compliance Committee, Firm Risk Committee and the Board Audit Committee, other types of regular or ad hoc reports, including coordination and collation of information from relevant stakeholders (internal and external to the Division/Firm) and production of management reports and presentations
Preparation of the Annual Compliance Plan (ACP) in coordination with the divisional coverage areas and control functions
Review and prepare tax disclosures and tax footnote information for inclusion in 10Q/10K filings
Prepare quarterly and year-end tax analysis for use by investor relations
Maintain and update internal control matrix/documentation requirements for tax processes to ensure compliance with Sarbanes-Oxley
Train and support the international controllers on ASC 740 principles in connection with the preparation of the annual income tax provision reporting packages
Design, implement and maintain accounting/reporting analysis/templates that will provide all information required for the periodic reporting of global income tax expense in accordance with ASC 740
Assist in international tax reporting projects
Assist in performing due diligence for transactions, international tax audits and other tax projects
Global Compliance & Reporting Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Global Compliance & Reporting
List any licenses or certifications required by the position: CPA, JD, LLM, ACAMS, EA, CFE, CAMS
Education for Global Compliance & Reporting
Typically a job would require a certain level of education.
Employers hiring for the global compliance & reporting job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Graduate, Accounting, Law, Finance, Economics, Business, Professional Accounting, Mathematics, Education, Business/Administration
Skills for Global Compliance & Reporting
Desired skills for global compliance & reporting include:
Banking regulations
Operations in a global setting
Products & services
Risk management
Financial accounting
OECD transfer pricing principles
PowerPoint
SharePoint
SQL
Strong business acumen
Desired experience for global compliance & reporting includes:
Partner with Compliance advisory and testing teams and drive the planning of strategic automated solutions (reusable tools and data queries) that can be applied to monitoring or testing activities
Document all aspects of the software development lifecycle (plan, build, operate) to develop and maintain the reusable tools
Must be a Prep for Prep Candidate
Manage a global team of Project Managers and ensure delivery of the portfolio of select X-EC&RR Ops
Real Estate – Demand forecasting, issue management, coordination
Executive/Business Management routines
Global Compliance & Reporting Examples
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Global Compliance & Reporting Job Description
Job Description Example
Our company is hiring for a global compliance & reporting. 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 global compliance & reporting
- Assists with communication, meeting summaries, and other business and program related tracking
- Provide additional support for various projects/process initiatives
- Provide general support to Controls team such as on-boarding/off-boarding arrangements, space arrangements, processing and tracking orders, invoices, and expenses, and updating business continuity plans and organizational charts
- Plan travel to support RCSA and other programs, team programming logistics, and other special events
- Perform routine tasks related to status updates, recurring meeting logistics, and weekly report collection and distribution
- Advise on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments implementation of required controls
- Evaluate and respond to quarterly and annual regulatory reporting and other requests from FINRA, SEC and the Fiduciary Committee, including assessing request to determine appropriate data sources, synthesizing metrics, performing analyses and presenting information in consumable format
- Define and drive a sustainable execution cycle
- Drive and proactively participate in the day-to-day program execution (procedures/guidance documents maintenance, data analysis, UAT testing)
- Govern program change activities by positively and creatively influence change, ensuring changes are appropriately communicated, preparing and helping others to anticipate and manage through change
Qualifications for global compliance & reporting
- Proven ability adapting procedures, processes, and techniques to the completion of assignments
- Demonstrated ability exercising tact and good judgment in confidential situations
- Proven ability organizing and seeing tasks through to completion
- Demonstrated experience operating with flexibility/adjust to changing priorities
- An understanding of AML, Sanctions and Anti-Bribery & Corruption with general industry compliance knowledge
- Good understanding of the relevant FCA rules
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Global Compliance & Reporting Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of global compliance & reporting. 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 global compliance & reporting
- Identify trends and Quality Assurance observations and effectively report summary results to management
- Cross Training across AML streams within the Quality Assurance Function
- Support quality assurance reviews of AML Risk Assessment scoring metrics calculation and perform testing on the various Business Objects-based Business Intelligence (BI) tool deliverables
- Perform data analysis and advise on enhancement to AML Risk Assessment methodology and scoring metrics, such as the number of politically exposed persons in a line of business or country
- Act as a liaison between business, compliance and technology to assist with development of requirements for BI tool that support the execution of the Risk Assessment program
- Drive tactical changes to support and enhance quantitative aspects of the AML Risk Assessment efforts such as process enhancements
- Resource to senior leadership - Serve as a liaison between the subject matter experts within the GRR to resolve any new or outstanding concerns
- Oversight to establish and document compliance related policies and procedures and amend/update as necessary
- Monitor the effectiveness of administrative policies and procedures and make changes as required
- Monitor proposed and amended rules and regulations, establishing/updating and documenting procedures and policies determine impact and recommended changes on current process
Qualifications for global compliance & reporting
- Must be part of Prep for Prep intern program
- Ability to execute multiple work streams simultaneously while maintaining Keen attention to detail, & ability to complete work at extremely high level of accuracy
- Equity product knowledge required (Stocks, ADRs, Convertible securities)
- Highly disciplined individual, self-motivated, delivery focused with the ability to work independently and multi-task with accuracy and attention to detail
- Able to analyze data and investigate discrepancies with a high level of accuracy
- Compliance Certifications such as Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM)
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Global Compliance & Reporting Job Description
Job Description Example
Our growing company is looking to fill the role of global compliance & reporting. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for global compliance & reporting
- Prepare formal presentations and recommendations for business partners, team, and management as required
- Provide advisory support and subject matter expertise to business partners and compliance management, on regulatory requirements, possible regulatory ramifications and/or options of proposed undertakings as assigned
- Field incoming inquiries from regulators, internal and external clients/vendors and independently evaluate and resolves issues escalating as necessary to global management
- Lead and participate in working group committees
- Implement and supports the department’s strategic direction in alignment with the department and Company’s mission
- Supports key reporting processes, including Culture of Compliance reporting and global compliance training
- Establish, maintain and analyze regular and ad hoc metrics and other MIS for firm policies and standards
- Produce monthly scorecard regarding policy and standards inventory, including status of overdue documents, for reporting to senior management and other key stakeholders
- Assist in responding to exams, regulatory inquiries or other requests by searching archives for responsive documents
- Contribute to development of presentations and other materials for Policy & Standards Governance Forum and other audiences
Qualifications for global compliance & reporting
- 1-2 years of Quality Assurance experience in a financial services environment
- Proven experience assisting in the design of Quality Assurance scripts
- Excellent analytical, written and verbal communication skills with a proven ability to explain QA review findings to both senior managers and analysts
- Contributing (and potentially) owning the delivery of individual management reports
- Reviewing reports that have been pre-produced offshore for accuracy and adherence to reporting standards
- Sourcing appropriate data from across the organisation and forming relationships to support open and constructive dialogue of the underlying ‘story’ behind the information
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Global Compliance & Reporting Job Description
Job Description Example
Our growing company is looking for a global compliance & reporting. 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 global compliance & reporting
- Be the key liaison with the external auditors regarding the Company’s quarterly reviews and annual audits
- Support the Investor Relations and Legal organizations with quarterly earnings releases
- Support Corporate Development on financial due diligence for potential acquisitions and participate in financial integrations of acquisitions
- Coordinate acquisition accounting including coordinating the valuation of acquired intangible assets
- Maintain and oversee an efficient Financial control environment to comply with internal control requirements (Sarbanes Oxley)
- Communicate and explain evolving accounting guidance and disclosure requirements to management and the worldwide Finance organization, including documenting conclusions in accounting memorandums
- Participate with the Controller’s organization and International Director of Finance organization in maintaining/establishing comprehensive worldwide accounting policies
- Coordinate with Legal and the Controller’s organization on project to implement an in-house SEC reporting tool
- Support month-end and year-end financial closes
- Review and analyze transactional data for potential suspicious activity, including those generated from an alert detection processes, subpoenas and warrants, country/corridor reviews, foreign and domestic agent matters, consumer network cases, negative media reports, other sources as applicable
Qualifications for global compliance & reporting
- Sound technical federal, state, and local tax law skills
- Experience with online tax research tools such as Bureau of National Affairs Tax Management Portfolio Library and Commerce Clearing House Tax Research Network
- Experience with tax software such as OneSource
- Ten years combined tax experience in large public accounting environment and corporate environment, with an emphasis on federal, foreign and state income tax issues required
- Knowledge of and experience with applying rules of ASC 740, SFAS 5 and related guidance on accounting for income taxes required
- Experience preparing U.S. corporate tax returns, including the use of commercial software and performing related calculations required
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Global Compliance & Reporting Job Description
Job Description Example
Our innovative and growing company is looking for a global compliance & reporting. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for global compliance & reporting
- Review U.S. tax compliance, , FTC, R&D, GILTI, FDII, BEAT, significant M-1 adjustments, tax return to provision reconciliations, and complex state income tax returns
- Review the quarterly and annual worldwide effective tax rate and FIN 48 analysis
- Coordinate and review global deferred tax asset and liability calculations
- Review the opening balance sheet and tax exposures for acquisitions, ensuring proper tax accounting treatment
- Prepare and review tax footnotes, and all other tax related disclosures for SEC filing
- Review changes in tax law and collaborate with Tax Planning SMEs to implement law changes
- Assist with federal, state, and foreign taxing authority income tax audits
- Collaborate with Tax Planning to bring in Tax substantive transformational changes to the compliance process
- Identify and implement opportunities to streamline tax processes for continuous improvement
- Draft the Transfer Pricing Master File
Qualifications for global compliance & reporting
- Bachelor’s degree or Post-Secondary education required
- Must have 8-10 years of related work experience with investment advisor, mutual fund group or any financial service industry
- A compliance/legal and audit background with proven exposure to regulatory reporting in the Asset Management industry is a plus
- Experience with SEC, FINRA, CFTC, NFA, FCA, PRA and other global regulators preferred
- Experience with Securities Act of 1933 and Securities Exchange Act of 1940
- Knowledge of securities regulation as it relates to operations within the financial services industry is preferred