Senior Analyst Regulatory Job Description
Senior analyst regulatory
provides guidance on Product Safety testing as required by UL/CSA/IEC 61010 , UL/CSA/IEC 60950/62368-1, IEC 60825-1, IEC 60601, IEC 61326-1 and IEC 61326-2-6.
Senior Analyst Regulatory Duties & Responsibilities
To write an effective senior analyst regulatory job description, begin by listing detailed duties, responsibilities and expectations. We have included senior analyst regulatory job description templates that you can modify and use.
Sample responsibilities for this position include:
Collaborate among several teams within GECC in the development and maintenance of an attestation model
Oversee issues related to the quality, accuracy of reporting, and technology
Conduct credible challenge to verify issues have been appropriately resolved
Validate customer complaint, fraud, privacy, security, scorecard breaches, and Basel related resolution plans to ensure plans adequately address the root cause of the identified issue
Identify trends, including repeat issues and inadequate corrective actions taken by business lines
Perform periodic re-testing of exceptions to verify the adequacy of business unit remediation and validation work performed
Understand and lead peers in the identification of key business factors (both internal and external) that impact Regulatory Reporting
Risk Assessment of compliance and regulatory functions throughout the various business units and identify actual and expected controls within the risk assessments
Develop and Document Enterprise Compliance Policies - evaluate current Compliance polices, identify potential gaps in policies and enhance current compliance polices where applicable
Develop control assurance testing procedures to evaluate adherence to the operating polices
Senior Analyst Regulatory Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Senior Analyst Regulatory
List any licenses or certifications required by the position: PM, PMP, CISA, ISO, CISSP, CISM, FINRA, CRISC, IRAP, PMI
Education for Senior Analyst Regulatory
Typically a job would require a certain level of education.
Employers hiring for the senior analyst regulatory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Finance, Business, Economics, Engineering, Education, Business/Administration, Management, Science, Law
Skills for Senior Analyst Regulatory
Desired skills for senior analyst regulatory include:
IEC 62366 and IEC 62304
Financial / capital markets
Microsoft Office
Processes/procedures related to Regulatory Reporting
Related systems: Bloomberg
Reuters
Audit environments
IEC 60601 / IEC 61010 3rd Edition
IEC 60825
Desired experience for senior analyst regulatory includes:
Play a key role in the preparation of recurring Regulatory Reporting filings
Work with business unit management to develop regulatory and compliance issue remediation plans
Report to Regulatory and Compliance Risk Manager on a monthly basis on issues identified and the status of remediation
Draws on knowledge of NAIC and New York State Department of Financial
Minimum of 5 years of financial services industry experience with a specific
In depth knowledge of the liquidity rules as they relate to Basel III, PRA, and OSFI
Senior Analyst Regulatory Examples
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Senior Analyst Regulatory Job Description
Job Description Example
Our innovative and growing company is looking for a senior analyst regulatory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for senior analyst regulatory
- Identify issues and address their resolution with the appropriate groups in a timely manner
- Conduct T+1 reconciliations for regulatory reporting requirements
- Reconcile trading limits and products for various accounts against posted limits on a daily and monthly basis
- Perform monthly reconciliations as required
- Daily calculation of the capital charge and large exposures for the German bank entity
- Implementation of changes in the European/German regulatory framework
- Addressing ad hoc requests in relation to regulatory aspects
- Participation in global regulatory project work including system developments, implementation of new products and new regulatory framework
- Preparation and analysis of monthly and quarterly financial reporting under US GAAP
- Support of financial statements preparation under German GAAP
Qualifications for senior analyst regulatory
- Work with and support Auditors
- Response to ad hoc queries from senior management
- Good knowledge of accounting (US GAAP/German GAAP) and/or regulatory rules
- Flexibility alongside precise and consistent working style
- Produce daily liquidity reports for trading desk(s)
- Understand current liquidity calculations, data sources, data processing
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Senior Analyst Regulatory Job Description
Job Description Example
Our company is looking for a senior analyst regulatory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for senior analyst regulatory
- Work closely with front end technology team to implement complex calculation and reporting rules around portfolio exposures and risks metrics and assist in improving data governance infrastructure
- Prioritizing compliance with the recently issued Federal Reserve ruling requiring the CFO to make an attestation regarding the collection and preparation of the FR Y-14 A/Q/M reports and related internal controls
- Define system enhancements required due to process or policy changes
- Partner with external vendors and data providers to monitor data quality and timeliness
- Work with the team members to develop team and personal goals
- Perform daily OATS regulatory reporting functions
- Ensure timeliness, accuracy, and completeness of OATS regulatory reporting
- Participate in exception review working group meetings across businesses, Compliance, Operations, Legal & Technology stakeholders
- Make actionable recommendations for break reduction
- Partner with Regulatory Operations Business Analysis and Control Teams to develop and modify controls as needed, test changes to controls, assist with implementation of new regulatory requirements, and document policies and procedures
Qualifications for senior analyst regulatory
- Detail-oriented, thorough and conscientious
- Always a team player who is energetic, enthusiastic and inquisitive
- Good understanding of technology and keen interest in how technology should be utilized to create value in asset management
- At least 0-3 years of investment management and financial markets experience, including portfolio management and trading
- 10 years of relevant experience in a Financial Institution for Basel reporting
- Good understanding of core banking and treasury products and data requirement for Basel reporting
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Senior Analyst Regulatory Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of senior analyst regulatory. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior analyst regulatory
- Preparation and monitoring of the risk reporting process
- Subject matter expert on various regulations coordinate issue resolution through the use of outside consultants, regulatory agencies, and / or internal resources
- Prepare USDA product regulatory submissions and assist in activities to support the approved products during their lifecycle
- Complete product regulatory assessments of new and changed products
- Responsible for the preparation of accurate and timely submissions required for SAP FC reporting as allocated including intragroup reporting and reconciliation in close cooperation with Accounting control
- Responsible for the preparation of accurate and timely FINREP reporting to CSSF/ECB and BCL statistical reporting, including implementation of new reporting requirements as required
- Active identification of risks and exposures and participation in the implementation of process and quality improvements to enhance the reporting process
- Active participation in special projects and development work, including testing following IT changes/updates of tools used
- OLiaise with Finance business partners across the group of companies and external auditors in support of auditor independence and related matters
- OMaintain organized tracking of all audit and consulting engagements by external accounting firms
Qualifications for senior analyst regulatory
- Derivatives financial products knowledge, futures knowledge is an asset
- Be energetic in approach and maintain the drive to deliver long term projects
- Have an appreciation of Regulatory Reporting and be comfortable in critiquing design and control requirements
- An ability to define and communicate complex regulatory reporting requirements
- Relevant good quality experience in the finance industry
- Bachelor's degree or equivalent in Accounting and/or Finance
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Senior Analyst Regulatory Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of senior analyst regulatory. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior analyst regulatory
- OFacilitate annual Senior Financial Ethics survey for employees serving in that capacity
- OSupport departmental projects such as BEPS Country by Country Reporting and Oracle HFM implementation
- OMaintain knowledge and familiarity with industry updates and support implementing relevant procedural changes to facilitate for associated impacts
- OAny other department needs as identified
- Assists in the maintenance of the departmental filing calendar
- Synthesizes complex and diverse information
- Actively support business initiatives
- Will establish COOP programs for federal and private sector clients
- Obtain and validate business requirements from applicable stakeholders (e.g., using health plan documentation, provider manuals, national regulatory lists)
- Being responsible for creating end to end comprehensive set of annual and semi-annual financial statements of the investment funds
Qualifications for senior analyst regulatory
- Minimum 5 years of experience in the regulatory audit of banking and capital markets or equivalent experience in consulting of FED/FINRA reporting process
- Good understanding and experience of FR Y-9C/LP, FFIEC 002, and legal entity standalone reporting is a plus
- Documentation and development of business requirements and functional specifications using context diagram and process models that support key businesses, processes and systems
- Interface with onsite and offshore business stakeholders to drive requirement gathering, functional analysis and design of end-to-end business work flow
- Contribute and drive the testing and issue identification aspects of the Project where required
- Work as a team player in close coordination with other BAs
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Senior Analyst Regulatory Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of senior analyst regulatory. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for senior analyst regulatory
- Work productively and professionally
- Managing and analysing impacts of internal changes on external deliverables
- Supporting the regulatory control function by ensuring adherence with the GRR Control Framework and Risk Rating model
- Facilitating and coordinating internal deliverables for external annual reporting requirements
- Review new regulatory issues and changes and keep the business updated
- Plan and manage the implementation of regulatory changes as agreed with Senior Management
- Represent Fund Services Ireland on group discussions
- Prepare/review thought leadership articles
- Brief clients on impact of regulatory issues
- Review fund documentation, where applicable
Qualifications for senior analyst regulatory
- OAnalytical skills to consolidate and/or aggregate, review, and explain fluctuations, ratios
- OTechnical skills to identify ways to establish new and/or enhance existing processes to completed assigned responsibilities with evolving requirements
- OCPA certificate preferred
- OWorking knowledge of enterprise level general ledger systems and reporting tools such as PeopleSoft, Hyperion Financial Management, OBIEE
- ORegulatory and/or financial reporting experience in financial services industry
- Ability to work collaboratively in a team environment with people on site people in remote location (Paris, London)