Regulatory Controller Resume Samples

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Guide the recruiter to the conclusion that you are the best candidate for the regulatory controller job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

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RW
R Walker
Rosemarie
Walker
38452 Bins Flats
Detroit
MI
38452 Bins Flats
Detroit
MI
Experience Experience
11/2014 – present
New York, NY
Regulatory Controller Reporting Leverage
New York, NY
Regulatory Controller Reporting Leverage
11/2014 – present
New York, NY
Regulatory Controller Reporting Leverage
11/2014 – present
  • Preparation, review and presentation of internal management information
  • Technical reviews of PRA/ FCA returns for Asset Management companies
  • UK entities Capital COREP returns
  • Various MS entity legacy PRA/ FCA returns (FSA001, FSA002, FSA015, FSA017)
  • Coverage of the BofE regulatory returns (BT, AD, AL, BE etc)
  • Quarterly (and ad hoc) internal capital forecast scenarios for ICAAP (including pillar 2b calculation), Going Concern etc
  • Weekly internal leverage ratio under Basel 3
03/2011 – 06/2014
New York, NY
Credit Risk Regulatory Controller
New York, NY
Credit Risk Regulatory Controller
03/2011 – 06/2014
New York, NY
Credit Risk Regulatory Controller
03/2011 – 06/2014
  • Project work including UAT for system turnovers
  • Presentation of data to senior management
  • Assistance with monthly & quarterly internal and external regulatory reporting
  • Oversight and management of aspects of the Credit Risk Capital team, offering strong support to the team lead
  • Build an array of product knowledge including listed & OTC Derivatives, Stock Loan, Repo, Prime Brokerage, Intercompany, Omni, Cash and Loans
  • Build a wider array of product knowledge including listed & OTC Derivatives, Secured Financing Transactions (e.g.: Stock Loan & Repo), Intercompany, Omni, Cash and Loans
  • Liaison with the capital reporting team, business unit controllers, internal audit, operations, front office and credit risk ops to investigate and validate variances in capital charges
12/2004 – 09/2010
Philadelphia, PA
Regulatory Controller
Philadelphia, PA
Regulatory Controller
12/2004 – 09/2010
Philadelphia, PA
Regulatory Controller
12/2004 – 09/2010
  • Monthly monitoring of underlying data related to banking book in conjunction with EIDC
  • Analysis of capital / RWA calculations related to equities as part of the monthly/quarterly cycles
  • Analysis of movements in the trading book
  • Preparing the due diligence report for equities (including IFI portion) highlighting trends, variance analysis, key issues and regulatory developments
  • Articulate drivers of material movements and liaise with other teams to understand root cause
  • Validate data through to external FFIEC 101 and Pillar 3 reporting
  • Build out Equity Data reconciliations with upstream systems
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Brigham Young University
Bachelor’s Degree in Accounting
Skills Skills
  • The successful candidate should be able to demonstrate a rounded commercial approach to reporting and controllership, with proven skills in investigating issues to discover root causes, and be confident in managing relationships across a wide variety of stakeholders and business areas
  • As an Associate, you will be responsible for demonstrating an ability to manage work load effectively across a team, develop practical solutions to problems whilst balancing multiple issues and priorities appropriately
  • Good knowledge and understanding of Derivative products and counterparty risk management processes, such as CSAs, collateral etc
  • Candidates should possess excellent Microsoft Excel skills and be proficient in data mining and summarising and presenting themes and results in a meaningful format
  • Candidates should be highly numerate with a close attention to detail, and demonstrate a strong commitment to developing your own skills
  • Maintain Internal Control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators
  • Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which one is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy
  • Prior Regulatory MS experience is highly desirable, ideally within the production function of the Capital Controllers
  • Strong communicator
  • A good understanding of the application of the CCR capital computation under Basel 3
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1

Regulatory Controller Resume Examples & Samples

  • Monthly monitoring of underlying data related to banking book in conjunction with EIDC
  • Analysis of capital / RWA calculations related to equities as part of the monthly/quarterly cycles
  • Analysis of movements in the trading book
  • Reviewing and understanding all calculations performed in Regulus using DRAX output files
  • Preparing the due diligence report for equities (including IFI portion) highlighting trends, variance analysis, key issues and regulatory developments
  • Articulate drivers of material movements and liaise with other teams to understand root cause
  • Work with relevant stakeholders to optimize Capital numbers where appropriate
  • Validate data through to external FFIEC 101 and Pillar 3 reporting
  • Build out Equity Data reconciliations with upstream systems
  • Build effective relationships with Information Technology, Global Capital and Balance Sheet Management, Legal Entity Controllers, Corporate Treasury, and Regulatory Colleagues
  • Streamline processes and seek ways to improve integration with other teams
  • Identify, escalate and co-ordinate resolution of issues
  • Work alongside the Regulatory projects team to share knowledge
  • Drive the prioritisation of future developments as well as test releases prior to going live
  • The successful candidate should be able to demonstrate a rounded commercial approach to reporting and controllership, with proven skills in investigating issues to discover root causes, and be confident in managing relationships across a wide variety of stakeholders and business areas
  • As an Associate, you will be responsible for demonstrating an ability to manage work load effectively across a team, develop practical solutions to problems whilst balancing multiple issues and priorities appropriately
  • Candidates for the role should hold an Accounting /Finance/Mathematical degree or equivalent, and have an understanding of the Regulatory framework
  • Relevant work experience in the financial services industry (regulatory reporting, financial and product control, liquidity, treasury)
  • Knowledge of financial products which are used in the financial services industry, such as Equity Swaps, and an awareness of the issues would be preferred
  • Team worker
  • Well organised
2

Accounting, Risk & Regulatory Controller Resume Examples & Samples

  • Global management of the Fixed Asset Register accounting & processing
  • Global management of the Software Capitalisation accounting & processing
  • Oversight of all accounting carried out in the the Americas region for Corporate Support Finance (CSF) functions
  • Oversight of the financial control environment across Corporate Support Finance in NY including risk issues, governance issues and work provided from other locations
  • Participation in global projects such as SAP implementation, Source 2 Pay improvements & all other system changes which impact the General Ledger
  • Coordination with Global Accounting Reporting & Control (GARC), Tax & other groups on accounting matters which impact CSF & its clients
  • Primary liaision with the Accounting policy group for all CSF globally
  • 10+ years of experience, CPA a plus
  • Strong financial accounting skills and the ability to apply these across multiple types of costs
  • Strong management accounting skills
  • Strong work ethic and drive
  • Ability & willingness to adapt to new challenges in a dynamic environment and with changing priorities
  • Good co-ordination skills as the role will involve co-ordinating work across CSF departments and locations
  • Strong PC skills in use of Excel, PowerPoint & in house systems such as Omega & Reporting cubes
3

Regulatory Controller Resume Examples & Samples

  • Fully Qualified Accountant
  • Degree educated or equivalent
  • Strong understanding of CoRep capital returns process, and of Basel 3 ruleset
  • Prior Regulatory MS experience is highly desirable, ideally within the production function of the Capital Controllers
  • Proven track record of chasing issues through many layers to discover root causes
  • Proven ability to perform adhoc analysis on datasets, draw themes & key issues and communicate findings
  • Attention to detail and time management are essential skills for this role. In addition the candidate should have the
4

VP / Regulatory Controller Resume Examples & Samples

  • 10-15 years of experience
  • Strong 15c3-3
  • Excellent supervisory skills
  • Hands-on experience in the private sector
  • Big company experience
  • 15c3-1
5

Regulatory Controller Reporting Leverage Resume Examples & Samples

  • Preparation, review and presentation of PRA regulatory returns on a monthly/quarterly basis
  • UK entities Capital COREP returns
  • Various MS entity legacy PRA/ FCA returns (FSA001, FSA002, FSA015, FSA017)
  • Preparation, review and presentation of internal management information
  • Focus on Leverage CRDIV as well as CRR (the Capital Requirements Regulation) rules
  • Weekly internal leverage ratio under Basel 3
  • Monthly/quarterly regulatory capital internal committee decks
  • Ad hoc requests such as, but not limited to
  • Preparation of monthly group Regulated UK Group population
  • Liaison with other Finance teams and business units with regard to calculation of Leverage Ratio, such as impact analysis of ad hoc scenarios
  • Participate in SLR Global Project to implement the calculation of SLR into a global platform
  • Leverage Exposure Measure and Ratio knowledge preferred
  • Qualified accountant would be beneficial
  • Attention to detail and time management are essential skills for this role. In addition the candidate should have the flexibility required to work in a dynamic environment under tight deadlines
  • Good communication skills are required and the candidate must work well in a team environment
  • Ability to work to multiple deadlines
  • Comfortable in a changing environment*LI-FH1
6

Legal Entity & Regulatory Controller Resume Examples & Samples

  • Qualified accountant with 3-5 years experience
  • IFRS, HKFRS , USGAAP knowledge
  • Preferred experience in securities industry
7

Regulatory Controller Resume Examples & Samples

  • Prepare and analyze all aspects of the daily 15c3-3 customer reserve computations for the U.S. Broker-Dealers
  • Perform various month-end calculations pertaining to 15c3-1 capital charges. This includes but is not limited to Customer, Broker, and Suspense charges
  • Prepare and post month-end General Ledger adjusting entries
  • Contribute to monthly FOCUS review meetings with senior management
  • Work on ad-hoc projects related to further enhancements of the 15c3-3 and 15c3-1 calculations
  • Assist on issues and questions related to rules and regulations of the SEC, FINRA, CFTC and other regulatory agencies
  • Address questions from Business Unit Controllers, Regulators and other members of the firm
8

Credit Risk Regulatory Controller Resume Examples & Samples

  • Daily analytical review of the capital exposures and charges on products across various legal entities
  • Production of daily Basel 3 Regulatory Capital reporting
  • Production of daily Large Exposure monitoring (‘LEMS’)
  • Monthly & quarterly internal and external regulatory reporting
  • Liaison with the capital reporting team, business unit controllers, internal audit, operations, front office and credit risk ops to investigate and validate variances in capital charges
  • Build a wider array of product knowledge including listed & OTC Derivatives, Secured Financing Transactions (e.g.: Stock Loan & Repo), Intercompany, Omni, Cash and Loans
  • Understand and interpret Capital Requirements Regulations (‘the rulebook’)
9

Regulatory Controller Resume Examples & Samples

  • Designing and producing of key RWA MI reporting, including counterparty static data exposures to highlight issues and inconsistencies
  • Resolution of globally inconsistent data through liaison with regional finance teams and upstream system owners
  • Generation of stress testing results and related analysis GBM Finance management
  • Group & HBEU Regulatory Reporting teams
  • Capital Management / London Business Managers Liaise with IT and document processes for colleagues in Hyderabad
  • Enabling "resolution at source" instead of quick fix adjustments Maintenance of end user controls and business maintained tables
  • Creating packs for management review & sign-off
  • Internal auditing
  • Be aware of the Operational Risk context associated with the role and act in a manner that takes account of operational risk considerations
  • Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which one is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy
  • Maintain Internal Control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators
  • A good understanding of the application of the CCR capital computation under Basel 3
  • Good knowledge and understanding of Derivative products and counterparty risk management processes, such as CSAs, collateral etc
  • Advanced Excel & Intermediate to Advanced SQL Skill (Programming skill not necessary)
10

CIB F&BM Capital & Regulatory Controller Public Finance Associate NY Resume Examples & Samples

  • Responsible for RWA computation and the associated control environment
  • Provide transaction support to the desk to help them achieve capital efficient structures and maximize ROE/SVA
  • Perform FAS167 assessments for existing transactions
  • Preparation of Regulatory and SEC submissions for 10Q/K, FFIEC 101, and Y9C
  • Support daily liquidity and leverage reporting for the businesses
  • Work closely on tactical and strategic technology implementations in response to new regulatory and accounting rules
  • Understanding and ensuring compliance with control and regulatory requirements
11

Credit Risk Regulatory Controller Resume Examples & Samples

  • Oversight and management of aspects of the Credit Risk Capital team, offering strong support to the team lead
  • Oversight of the Basel 3 Regulatory Capital calculations produced for internal and external reporting
  • People management and ongoing development of junior members of staff, building a strong production team with excellent knowledge of both current and future Capital rules
  • Very high focus on Capital rules and the accuracy of our calculations, taking a lead role in an ongoing assurance agenda
  • Direct and indirect involvement in Projects / Testing – relating to ongoing and upcoming regulatory initiatives, including the build-out of a new capital system as well as run the bank improvements within current capital systems
  • Presentation of data to senior management
  • Liaison with the capital reporting team, BU controllers, credit, trading desks, operations and credit risk operations to investigate and validate variances in capital charges
  • Focus on achieving operational efficiencies within our capital production processes
  • Prior experience in a similar management role essential
  • Strong people and process management experience essential
  • Degree Qualification essential. Ideally also qualified accountant
  • Strong Credit Risk experience highly desired
  • Strong understanding of the regulatory environment, ideally with a working knowledge of the PRA BIPRU rule book
  • Strong written and verbal communication skills are required
  • Ability to manage book of work to a daily deadline in addition to dealing with monthly and quarterly agenda
  • Comfortable providing support in a changing environment
12

Bank Legal Entity Regulatory Controller Resume Examples & Samples

  • Preparing/reviewing regulatory reports (FFIEC 041-Call Report and FFIEC 101) as well as ensuring that appropriate auditable documentation for all reports exists
  • Performing variance analysis and reconciliations of the above regulatory reports
  • Researching treatment of new Bank products in 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)
  • Performing various adhoc requests, including assistance with presentations, audit request, and researching accounting and/or regulatory inquiries
  • Communicating regulatory reporting results to Senior Management
  • Ensuring that the Banks maintain a strong internal control environment (including performance of due diligence procedures and procedures documentation)
  • Strong Bank Regulatory Reporting background required, Basel III experience and knowledge a plus
  • Ambitious, analytical, self motivated individual with a strong work ethic, positive attitude and the ability to work both independently and as part of a team
  • Strong organizational skills with the ability to multi task and prioritize conflicting demands
  • Ability to communicate effectively, both written and verbal
  • Accounting / Finance degree (proficiency in US GAAP accounting)
  • 5+ years related work experience
13

CIB F&BM Securitized Products Group Capital & Regulatory Controller Analyst NY Resume Examples & Samples

  • Complete ownership of Basel III Regulatory Capital including securitization exposures (using SFA, SSFA), TCP exposures, market risk exposures (standard charges, Var/SVar, etc.), etc
  • Primary face to the business for Capital, providing transaction support/guidance and acting as liaison with Regulatory Policy, etc
  • Ownership of key SEC schedules, footnotes and Pillar 3
  • Provide oversight of Fed/OCC schedules from FFIEC 101, Y9C, etc
  • Control, oversight and integrity of the financial statements and end-to-end control around external reporting
  • Will own production and analysis of Basel III RWA (both standardized & advanced)
  • Understand results, and proactively work with the desk to understand their capital
  • Work closely with CIBT teams, CFR, etc., to ensure business data is properly consumed in external filings such as FFIEC101 and Pillar 3
  • Work closely on tactical and strategic technology implementations in response to new regulatory and accounting rules
  • Understanding and ensuring compliance with control and regulatory requirements
  • Knowledge/experience with Securitized Products (RMBS, ABS, CMBS, CLO, CDS on ABS, etc.)
  • Ideally have some familiarity with Basel 2.5 and Basel 3 Capital regimes
  • Understand Balance Sheet and Capital
14

Credit Risk Regulatory Controller Resume Examples & Samples

  • Coverage for production of daily Basel 3 Regulatory Capital reporting and Large Exposure monitoring reports. Including analytical review of the capital exposures and charges on products (e.g.: derivatives, Stock Loan, Repo, Prime Brokerage, etc.) across various legal entities
  • Risk & issue log monitoring and reporting
  • Project work including UAT for system turnovers
  • Assistance with monthly & quarterly internal and external regulatory reporting
  • Build an array of product knowledge including listed & OTC Derivatives, Stock Loan, Repo, Prime Brokerage, Intercompany, Omni, Cash and Loans
  • Understand and interpret Capital Requirements Regulations
  • Degree Qualification required (2.1 or above)
  • Part qualified / Fully qualified (e.g.: CA, CIMA, ACCA) desirable
  • Good communication skills are required
  • The candidate must work well in a team environment
  • Time management are essential skills for this role
  • Ability to gain thorough understanding of products through on the job training
  • Ability to follow logical operational processes
  • Possess Microsoft Excel & PowerPoint skills and be proficient in data mining and summarising and presenting themes and results in a meaningful format
15

Cib-f&bm-uk Regulatory Controller Resume Examples & Samples

  • Preparation of the monthly, quarterly and biannual returns for JP Morgan Europe Limited (JPMEL), JPMorgan International Bank (JPMIB), JPMorgan Securities Ltd (JPMSL) and JPMorgan Chase Bank London (JPMCB)
  • Assist the team in preparation of the firm’s statistical reporting requirements to the Bank of England for the UK Bank regulated entities (JPMCB, JPMSplc, JPMEL, JPMIB)
  • Ensure timely and structured reconciliations are performed while displaying strong understanding of the control framework around reconciliations and break resolution/investigation
  • Assist in the identification and completion of manual workarounds, where necessary, to ensure completeness and accuracy of outputs in the operating and processing model
  • Review monthly and quarterly variances, investigate trends and work effectively with the London team to obtain and document business commentary for management
  • Partner with the local Regulatory Project team on new releases and assist the London team with review of trade flows for new business initiatives
  • Able to work well in a team
  • Time management skills are essential for this role, including ability to work in a dynamic environment under tight deadlines
  • Expertise in Microsoft Office – Excel (Pivot table and vlookup), Outlook, Word and Powerpoint
  • Proficiency in Merit Business Objects and other query tools (Microsoft Access) would be an advantage
  • Reconciliation and general accounting knowledge
  • Knowledge of regulatory reporting would be advantageous but not essential
  • Degree qualification
  • Qualified/Part Qualified accountant
  • Good understanding of financial products and the associated cash flows (e.g. repo, reverse repo, cash securities)
  • Good understanding of derivatives and margin/collateral management
  • Knowledge of banking products (deposits, loans, credit facilities)
  • Proven ability to perform ad-hoc analysis on datasets, draw themes & key issues and communicate findings
16

Senior Regulatory Controller Resume Examples & Samples

  • Provides technical support to Regulatory Reporting and Change Management teams
  • Ensures compliance with all regulatory reporting requirements
  • Assess impact of new regulation and requirements on the UK legal entities
  • Support the business lines in decision making where there are regulatory impacts to be considered
  • Support efforts towards continuous improvement in the control environment around regulatory reporting
17

CIB F&BM Securitized Products Group Capital & Regulatory Controller Associate Resume Examples & Samples

  • Primary face to the business for Capital, providing transaction support / guidance and acting as liaison with Regulatory Policy, etc
  • Work very closely with Product Control team to ensure completeness of processing, etc
  • Bachelor’s Degree in Accounting, Finance, Economics, Mathematics, etc
  • Results orientated without compromising control
  • Familiarity with Basel 2.5 and Basel 3 Capital regimes preferred
  • Understanding Balance Sheet and Capital preferred
  • Experience in controller organization
18

Cib-f&bm-uk Regulatory Controller Resume Examples & Samples

  • Interpretation of the Regulatory rules which forms the basis of Bank of England and FSA reporting, and providing regulatory guidance to the business
  • Proactively challenge and provide constructive feedback to improve processes in the new Axiom operating model
  • Review regulatory output performed by the team prior to any data release to London
  • Ensure compliance and understanding of the control framework in place for the UK Regulatory Reporting department
  • Proficiency in SAP and other query tools (Microsoft Access) would be an advantage
19

Regulatory Controller Resume Examples & Samples

  • Manage and supervise the preparation and analysis of daily and month-end reporting of net capital via Consolidated Supervised Entity and Rule 15c3-1 Reporting
  • Manage and supervise the reporting of required information to various regulatory agencies including the SEC, FINRA and CME, specifically FOCUS Reporting
  • Participate in preparing proformas and planning for registering entities under proposed swap dealer rules; assist in the development of meeting reporting requirements per the rules
  • Manage special projects to evaluate the efficiency of business processes and make recommendations on how to improve and enhance the current process
  • Create specifications for IT team regarding the automation of various business processes and design and test new systems to ensure that they are functioning accurately
  • Perform test work to ensure that the system is reliable and sign off on the User Acceptance Plan
  • Develop detailed Policies and Procedures regarding the integral functions of the group, including summaries of the respective regulatory rule that relates to the task
  • Review new products to determine the regulatory impact on the firm
  • Discuss findings with Upper Management and recommend or deny the respective product
  • Participate in monthly meetings with Upper Management regarding the reporting of net capital and explain variances in balances reported both month over month and year to date
  • Interact with business unit controllers, General Ledger, Treasury, Market and Credit Departments, Compliance and IT on a daily basis regarding regulatory issues
  • Assign and delegate tasks and supervise staff members, including review of work performed and offer timely feedback and guidance
  • Perform written and oral semi-annual and annual reviews of staff members
  • Interview candidates for employment and participate in discussions with Upper Management regarding offering employment opportunities
  • Act as a liaison for various internal and external audits, follow up on open items and resolve any issues noted
  • Assist business management with compliance of requirements for Sarbanes-Oxley, including identification of key controls, documentation of policies and procedures and coordination with internal and external auditors for certification
20

CIB F&BM Securitized Products Group Capital & Regulatory Controller Associate NY Resume Examples & Samples

  • Complete ownership of Basel III Regulatory Capital / RWA including, but not limited to, securitization exposures (SFA, SSFA), Traditional Credit Products (TCP) exposures, Available-for-Sale (AFS) exposures, market risk exposures
  • Own production and analysis of Basel III RWA (Standardized & Advanced)
  • Provide high quality transaction support to the front-offices to help them execute capital efficient transactions
  • Implementation of Fundamental Review of the Trading Book (FRTB)
  • Strong technical skills and experience working with large amounts of data (i.e. Excel, PowerPoint)
  • Strong organizational and time management skills; able to work on multiple initiatives with competing deadlines
  • Self-motivated and willing to take initiative
  • Knowledge / experience with fixed income products
  • LI-Post