Regulatory Reporting Manager Resume Samples
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Regulatory Reporting Manager Resume Samples
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DJ
D Johnston
Donny
Johnston
64432 Schoen Grove
Dallas
TX
+1 (555) 755 1593
64432 Schoen Grove
Dallas
TX
Phone
p
+1 (555) 755 1593
Experience
Experience
Boston, MA
Regulatory Reporting Manager
Boston, MA
Bergstrom, Daugherty and Sporer
Boston, MA
Regulatory Reporting Manager
- Working in conjunction with direct manager to supervise team’s work and performance
- Post management and other stakeholders to maintain expectation and effective working relationships
- Manage processes and actively encourage an environment of continuous improvement
- Manage and develop a team of finance professionals / accountants
- Work is performed in a normal office environment with majority of day spent sitting and moving around the department
- Management of leverage ratio reporting, including business level view. Assist in delivering leverage ratio reduction initiatives
- Working with the change function to drive improvements and infrastructure change
Philadelphia, PA
Client / Regulatory Reporting Manager
Philadelphia, PA
McDermott-Herman
Philadelphia, PA
Client / Regulatory Reporting Manager
- Developing and coaching the team through goal setting, regular one to ones, annual and semi-annual performance reviews
- Working closely with other relevant operational peers to ensure that process risks are minimised
- Identifying opportunities for efficiencies and drive new developments and enhancements forward for the team
- Leading on projects and process improvements and the resultant training
- Developing strong, pro-active relationships with all internal and external stakeholders
- Ensuring that offshore and onshore teams are trained to a high standard and are kept up to date with regulatory changes
- Ensuring feedback is given to the offshore team, in the form of calls/issue logs, to help keep accuracy levels high and quickly resolve issues
present
Boston, MA
Financial & Regulatory Reporting Manager
Boston, MA
Wisoky Inc
present
Boston, MA
Financial & Regulatory Reporting Manager
present
- Assist in reviewing and improving the performance of team members
- Develop enhancements to existing financial/regulatory reporting processes
- Respond to internal/external inquiries regarding financial data reported or filed. Provide lead guidance to other staff members
- Manage and train Financial Reporting Administrator(s) on all aspects of the financial statement production
- Reports organization's finances to management, and offers suggestions about resource utilization, tax strategies, and assumptions underlying budget forecasts
- Recommend procedural changes to address problems and to ensure accuracy, completeness and timeliness of reporting
- Review Form PF filing for Clients
Education
Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Hofstra University
Bachelor’s Degree in Finance
Skills
Skills
- Strong analytical and conceptual skills as well as the ability to focus on details
- Excellent communication skills – written and verbal Ability to develop, lead and manage teams Strong team engagement skills
- Ability to organize and present data in a meaningful way, including analysing and summarizing detailed information from various sources
- Strong technical skills, ability to access and manipulate large volumes of data
- Strong attention to detail
- Ability to create and manage detailed project plans including managing interdependencies
- Strong written, communication, and presentation skills, including the ability to liaise with and influence senior subject matter experts
- Good communication and presentations skills and an ability to interact with all levels of management
- Ability to learn to use new internal systems quickly and to perform data and systems analysis
- Strong working knowledge of GAAP as it related to the regulations of hedge funds and investment vehicles
15 Regulatory Reporting Manager resume templates
Read our complete resume writing guides
1
Am-im-regulatory Reporting Manager Resume Examples & Samples
- Act as key client contact for all legal and compliance matters
- Coordinate & participate in client meetings including on site due diligence reviews
- Review new account documentation and fulfill periodic reporting requirements
- Review fund registration statements as they relate to the investment process/strategy and the sub-adviser, and fund investment policies
- Coordinate completion of annual questionnaires including 15(c) materials for the sub-advised fund's Board approval of the sub-advisory agreement
- Partner with internal departments including investment teams, compliance, legal, marketing and sales to respond to client requests
- Prepare checklists, memos and other monthly and quarterly compliance reports for client board reporting
- Coordinate the review and preparation of Sarbanes Oxley certifications
2
Cib-HR Risk Control & Regulatory Reporting Manager Resume Examples & Samples
- Assist the Head of HR to oversee the governance of the SG HR function
- Coordinate and facilitate with country HR head, people based priorities for China (eg, Diversity, Talent review, evaluation committees)
- Act as project co-ordinator for various regional HR projects such as HR policies review, updating business resiliency plans, coordinating with Benefits, HRSD, Employee Relations and Legal & Compliance in location policies review and implementation
- Manage required submissions to CBRC Eg. quarterly reporting of employee Headcount including analysis and forecasts, managing financial schemes submissions, and other requested info from CBRC
- Co-ordination and project management for Business Control Committees and forums which may include logistic arrangements for multiple countries and attendees, taking minutes, following up on action plans and producing presentation decks
- Coordinate information sharing, best practices and business-specific updates with location HR teams and identify risks and opportunities for improvement in the HR function including efficiencies and synergies across team
- Produce presentations for various regional and country committee meetings and briefing packs (eg. country HR update/priority presentations on quarterly basis to share with China Management Committee(CMC))
- Analytical and approach problem solving in a logical manner
- Proven track record of dealing with and managing expectations of multiple stakeholders
- Relevant work experience as business analyst supporting HR function is an advantage
- Experienced user of Microsoft applications - Advanced Excel, PowerPoint
3
Regulatory Reporting Manager Resume Examples & Samples
- Team oversight and management of 9 FTE
- Working in conjunction with direct manager to supervise team’s work and performance
- Engage as part of the monthly internal FCA Transaction Reporting Steering Committee
- Timely and accurate production of key MIS reports and test cycle summaries to global key stakeholders across Middle Office, Operations, Technology and Compliance
- Comparison and validation of Transaction Reporting data requested from the FCA, versus the front to back data flow across multiple firm applications
- Development and enhancement of validation and testing approach
- Investigation and prioritisation of issues arising from testing and escalation to management where appropriate
- Extensive liaison with internal clients ORC, Middle Office and Compliance
- Liaison and relationship building with Technology and Operations contacts
- Key stakeholder for new validation automation tool, overseeing team’s stakeholder role input
- Driving and implementation of testing remit expansion
- Team player who works well with colleagues of all levels
- Strong business / industry knowledge
- Ability to build productive working relationships
- Ability to face off against senior management
- Understand impact of external factors (i.e. regulation changes) on departmental responsibilities
- Understanding of front to back flows (business and technical)
- Self-starter, able to work on own initiative
- Ability to effectively operate within a remote management structure
- Client focussed
- Results focussed
- Tenacity
- Proven experience in a Control, Regulatory or Compliance function
- Previous Regulatory reporting experience beneficial
4
Regulatory Reporting Manager Resume Examples & Samples
- Management of the preparation and review of the PRA suite of returns including the quarterly CoRep reporting
- Management of leverage ratio reporting, including business level view. Assist in delivering leverage ratio reduction initiatives
- Provide direction and training to remote production team located in Pune, India
- Management of recurring Audit commitments and Operational risk
- Development and maintenance of collaboration agreements with stakeholders
- Engagement with Front Office and other departments on capital-related matters – capital usage, interpretation and application of regulatory capital calculations, ad hoc queries etc
- Working with the change function to drive improvements and infrastructure change
- A university degree, ideally coupled with an accounting qualification
- Experience within the Investment Banking sector, ideally within UK Regulatory Reporting, although previous experience in financial reporting will be considered
- Knowledge of and appreciation of the practical application of regulatory requirements
- Experience of operational risk and control framework
- Effective and confident communication with senior stakeholders, inclusive of regulatory bodies
- Good presentation skills and written skills
5
Regulatory & Reporting Manager Resume Examples & Samples
- Minimum 3 years of experience in financial services, management reporting; AML Compliance specific experience
- Familiarity with business/strategic planning best practices
- General knowledge of U.S. policy and regulatory requirements, especially AML and OFAC regulatory requirements
6
Regulatory Reporting Manager Resume Examples & Samples
- Participate in group's implementation of new regulations and new system requirements, specifically on changes required to the BAU operating model
- To assist in the preparation and review of returns for external submission and preparing supporting schedules and backup packs for senior management review
- To assist in the preparation and review the timely and accurate submission of regulatory returns to the PRA
- To provide analysis and commentary on Group regulatory risk-weighted assets
- Provide guidance to business areas/sites on regulatory reporting issues
- Review and challenge data from sites and other group departments
- To provide monthly, quarterly and adhoc information to internal customers, namely Senior management
- Establish effective relationships with other teams within Global Finance
- Knowledge of current regulatory accounting and regulatory developments
- Knowledge of PRA and other regulatory reporting requirements
- Awareness of FDSF requirements preferable
- Previous experience in a regulatory reporting role essential
- Preferably a qualified or part-qualified Accountant
- Excellent interpersonal and communication skills, both written and oral
- Self-motivated and capable of working as part of a team
- Good mathematical and analytical skills
- Ability to work under pressure, report to tight deadlines and deal effectively with issues as they arise
- Ability to drive change and efficiency
- Excel expertise. g. To manipulate data quickly using pivots, sorts, filters, macros, etc
7
Regulatory Reporting Manager Resume Examples & Samples
- Bachelor’s degree in accounting or finance with 8-10+ years of relevant exposure in a regulatory reporting position
- Demonstrated expertise and understanding of product coverage areas including loans and investment securities
- Capable leader and strong communicator. Able to communicate complex issues both verbally and in writing in order to represent department to firm leadership and external regulatory bodies
8
Regulatory Reporting Manager Resume Examples & Samples
- Daily securities and commodities customer protection computations in the US and equivalent computations around the world
- Review of regulatory filings
- Keep track of new rules and requirements
- Research regulatory impact of new business initiatives
- Participate in regulatory examinations relating to financial matters
- Learn new regulatory jurisdictions, work with foreign regulatory experts to implement new reporting
- Coordinate with local regulatory staff
- Continue to improve automation for all aspects of regulatory reporting
- Daily customer protection computations are already highly automated
- Further document and improve regulatory controls and procedures
- 3+ years of regulatory reporting experience
- Ability to evaluate current procedures and design and implement changes in order to streamline operations, while ensuring sufficient checks and balances
- Bachelors or higher degree in finance, accounting or science
- Intellectually curious self-starter with the ability to work without constant supervision
- Prior experience in highly automated environment and ability to specify programming requirements
- Experience in accounting
- Prior experience with Oracle Financials
9
Regulatory Reporting Manager Resume Examples & Samples
- Experience with FERC (Federal Energy Regulatory Commission)
- A Bachelor's degree in Accounting or Finance or equivalent work experience
- Strong knowledge of U.S. GAAP and regulatory reporting (FERC Uniform System of Accounts)
- 7+ years of financial analysis and/or reporting experience
- Excellent leadership, teamwork, and staff development skills
- Ability to understand complex financial issues, develop and implement action plans to resolve issues
- Demonstrable ability to be flexible and agile to changing conditions
- Strong analytical, problem solving and strategic skills
- Strong communication and relationship building skills
- Experience supervising/leading others
- Ability to work with multiple stakeholders and partners
- Knowledge of SAP systems
10
Regulatory Reporting Manager Resume Examples & Samples
- Work with the existing regulatory reporting manager to review and/or approve some of the PRA/FCA/BoE/CBI regulatory returns and all responses to queries raised by PRA/FCA on regulatory returns and capital issues
- Complete documentation of key processes and improve the audit trail to support the regulatory returns
- Support for the provision of prudential regulatory information provided to relevant committees
- Support for the ongoing production of the ICAAP including stress testing
- Support for the annual fee tariff data to FCA
- Support for the production of pillar 3 disclosures
- Support for the budget and forecasting capital process
- Support and ownership of regulatory projects
- Relevant professional qualifications preferred, although not essential
- Significant regulatory capital / reporting experience gained within financial services industry
11
Client / Regulatory Reporting Manager Resume Examples & Samples
- Ensuring that all client deliveries are met to agreed service level agreements e.g. Board Reports, Monthly UCIT Reports, Management Fee Calculations, KIID or KIID Monitoring Reports
- Ensuring that all regulatory deliveries are met to agreed service level agreements e.g. MMIF, Monthly NAV Return, Non-Irish Return
- Ensuring communication with the client, both internal and external, regulator, offshore sites and external vendors is effective
- Leading on projects and process improvements and the resultant training
- Ensuring that offshore and onshore teams are trained to a high standard and are kept up to date with regulatory changes
- Ensuring feedback is given to the offshore team, in the form of calls/issue logs, to help keep accuracy levels high and quickly resolve issues
- Overseeing the accurate and timely production of all weekly, monthly, quarterly, semi-annual and annual deliveries
- Investigating and resolving complex client or regulatory queries in a timely manner
- Keeping up to date on accounting standards and regulatory change
- Developing strong, pro-active relationships with all internal and external stakeholders
- Working closely with other relevant operational peers to ensure that process risks are minimised
- Identifying opportunities for efficiencies and drive new developments and enhancements forward for the team
- Deputising as required for senior manager
- Developing and coaching the team through goal setting, regular one to ones, annual and semi-annual performance reviews
- Significant management and interpersonal skills are essential
- Knowledge of Mutual Fund Accounting, Regulatory and Client Reporting are essential
- Knowledge of Alternative Investments/Hedge Fund Accounting and KIID Reporting will be an advantage
- Project Management skills will also be an advantage
- Highly numerate and analytic
- A high energy level and an enquiring mind
- Qualified or part qualified accountant will be an advantage
- Finance related qualifications an advantage
12
Ccar Regulatory Reporting Manager Resume Examples & Samples
- Positively impact the design and development of the regulatory reporting function within Group Finance with appropriate alignment to the Target Operating Model and bank-wide standards
- Working with CCAR project team both 14A and other work streams, CCAR BAU teams and various cross functional CS departments throughout 2015 and 2016 to understand workflow, handoffs, reconciliations as well as data sources in order to create and document policies and procedures for a controlled environment to produce the regulatory reports
- Becoming the subject matter expert ("SME") with respect to the reports filed on behalf of the IHC and the data underlying the reports
- Supporting internal and external audit reviews
13
Regulatory Reporting Manager Resume Examples & Samples
- The Regulatory Reporting Manager will be responsible for Client facing project calls
- Updating and monitoring progress of the regulatory production calendar for clients
- Preparation and review of regulatory calculations for each client
- Maintaining a supportive and service role to internal teams and the client
- Maintaining and updating as appropriate client files and customisations
- Preparation and review of client regulatory reports, updates etc
- Maintenance and resolvement of issue logs
- Monitoring of regulatory filings
14
Regulatory Reporting Manager Resume Examples & Samples
- Manage and develop a team of finance professionals / accountants
- Ensure all liquidity reports are submitted accurately and on time
- Ensure all controls are complete, fit for purpose, embedded into BAU and strictly adhered to
- Ensure compliance with regulatory standards and directives (Basel III & CRD IV)
- Manage processes and actively encourage an environment of continuous improvement
- Manage requirements of internal and external stakeholders appropriately
- Input BI Strategic Project and ensure onward communication to team
15
VP-ccar Regulatory Reporting Manager Resume Examples & Samples
- Working with CCAR project team both 14A and other workstreams, CCAR BAU teams and various cross functional CS departments throughout 2015 and 2016 to understand workflow, handoff's, reconciliation as well as data sources in order to create and document policies and procedures for a coordinate environment to produce the regulatory reports
- Working on various Business Requirements Documents ("BRD's") supporting development of the various reports that will require filing by the IHC for CCAR 14A submission
- Performing necessary analysis of the reportable data (actual's and projections), which involve many of CS's US legal entities and across many products. Working closely with legal entity controllers and other regulatory reporting groups to leverage and understand their coordinates and processes as many of the actual's in the 14A report originate or are derivations of numbers in other reports
16
Regulatory Reporting Manager Resume Examples & Samples
- One of the key responsibilities will take care of monthly/quarterly/annual regulatory PBOC, CBRC, SAFE report and prepare Liquidity ratio, deposit reserve and other regulatory ratios
- And another important responsibility will Ensure all the financial records and statements comply with the local Chinese and regulatory requirement
- Furthermore, this role will performs business and financial analysis of financial reports and data, and prepares analytical report for senior management and regulator review
- You will also support business partners on accounting and related regulatory issues for the implementation of new products; and liaise with auditors, local regulators, ad hoc
17
Ccar-regulatory Reporting Manager Resume Examples & Samples
- Working with CCAR project team both 14A and other workstreams, CCAR BAU teams and various cross functional CS departments throughout 2015 and 2016 to understand workflow, handoffs, reconciliations as well as data sources in order to create and document policies and procedures for a controlled environment to produce the regulatory reports
- Actively participate in user acceptance testing of the reports as technology solutions are delivered
- Performing necessary analysis of the reportable data (actuals and projections), which involve many of CS's US legal entities and across many products. Working closely with legal entity controllers and other regulatory reporting groups to leverage and understand their controls and processes as many of the actuals in the 14A report originate or are derivations of numbers in other reports
- Actively participate in Dry Run prep and execution prior to filing of 14A report
- Preparing ad hoc analysis reports
- Related special project / analysis work as may be required
18
Regulatory Reporting Manager Resume Examples & Samples
- Analysing identified issues for their impact on capital and other upstream and downstream processes or systems, as well as communicating and escalating observations
- Drafting recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process
- Ability to organize and present data in a meaningful way, including analysing and summarizing detailed information from various sources
- Ability to create and manage detailed project plans including managing interdependencies
19
Capital Planning & Regulatory Reporting Manager Resume Examples & Samples
- Responsible for Stress Test data aggregation, analysis, corporate and regulatory reporting template completion and submission (FR Y-14M, FR Y-14Q, FR Y-14A, DFAST)
- Ensure data completeness, accuracy and timeliness working cross functions on data reconciliation routines and data integrity initiatives
- Understands reporting infrastructures and data production nuances and pulls data from source systems using tools such as Essbase or SAS
- Support ongoing reporting needs and respond to ad hoc data and analysis requests
- Support strategic business objectives with relevant data and analysis
- Work closely with Risk and Finance peers to consolidate and validate Capital Plan reporting
- Assist with implementation of regulatory reporting and document management solutions
- Bachelor’s Degree and 4+ years of work experience in an accounting, finance, or audit role, or in lieu of a degree, 7+ years of work experience in an accounting, finance, or audit role 1+ years of work experience in data analysis and/or financial reporting
- Proficient in software applications & database management, Excel, Essbase, Word, Power Point
- Bachelor’s degree in finance or accounting
- Financial Services Industry experience
- Exceptional MS Office skills (Excel, Powerpoint, Word)
- Experience with Hyperion Essbase
- Knowledge of stress testing policies and procedures
- Demonstrated experience analyzing risk/business data with the ability to distill large amounts of information down to the critical areas of focus
- Strong communication skills with the ability to prepare clear communication and confidently present meaningful analysis to senior and executive management level
- Familiarity with current Retail Finance operating systems, Federal Reserve and OCC regulatory reporting requirements
- Must be able to work to tight deadlines with multiple priorities
20
Regulatory Reporting Manager Resume Examples & Samples
- This role will review of daily, weekly, monthly, quarterly, semi-annual and annual regulatory returns as well as ad hoc returns from CBRC, PBOC and SAFE for branches
- You will also establish and maintain effective controls on the whole process of regulatory reporting for branches
- Another key responsibility is the detailed implementation of Asia Prudential Standards and Regulatory Reporting Model (APRM) for branches
- Finally, you will manage change control from new products, system updates or various projects on the regulatory and statutory reporting including but not limited to impact analysis, procedure or workflow updates
21
Fmg-regulatory Reporting Manager Resume Examples & Samples
- Good, up to date PRA, FCA and BOE technical knowledge required
- Good knowledge of international banking regulation, in particular Basel frameworks and European CRR/CRD
- Experience working with systems processing large volumes of data, and the controls required to manage such systems, will be well regarded
- Strong excel and systems skills
- Well organised and methodical approach
- Time management and an ability to work to deadlines is essential
- Proven communication skills, with colleagues and senior management, preferably in a cross border environment
- Responsible for driving process improvement and efficiencies
- Encourages and demonstrates continuous improvement and innovation in others and ensures the best ideas get translated into action
- Identifies and supports innovative business and Finance initiatives that provide a material contribution
- Establishes and builds sustainable networks across their Division and in dealings with Macquarie
- Responsible for considering operational risk and its implications when identifying and supporting commercial and entrepreneurial outcomes
- Accountable for team compliance with the financial control framework
- Identifies and encourages improvements in the implementation of the financial control framework across areas of responsibility
- Accountable for addressing control weaknesses to reduce the potential for operational incidents
- Responsible for escalation of identified issues
- Team player, willing to help out wherever required
- Practical and well organised approach to work, with demonstrable history of delivering to deadlines
- Ability to apply judgement and to escalate issues where appropriate
- Prior experience managing an offshore team
- Prior experience of working with AXIOM and/or PeopleSoft
- Experience of regulatory reporting within an investment banking/ trading environment or audit is preferred. Experience in the regional office of a multinational organisation would be well regarded
22
SVP Regulatory Reporting Manager Resume Examples & Samples
- Minimum of 15 years corporate financial management experience
- Bachelor’s degree in accounting, finance, related field or equivalent experience. CPA designation and/or MBA preferred
- Strong management, organizational, analytical, problem-solving, project management, verbal and written communication skills
- Proficiency with personal computers and pertinent systems and software packages. Knowledge of accounting systems and programs
23
Regulatory Reporting Manager Resume Examples & Samples
- 5+ years of Regulatory Reporting experience; 10+ years of experience in the Accounting and/or Financial Services industry
- Broad knowledge basis for General Ledger / Regulatory Reporting controls and infrastructure
- Microsoft Office/Suite proficient (Excel, Word, Project, etc.)
- Solid Information Technology experience
- Working knowledge of PeopleSoft
24
Basel Regulatory Reporting Manager Resume Examples & Samples
- Lead a team who reviews monthly RWA results, identifying key issues highlighted through variances on monthly trends, prioritizing material issues and directing operations units to investigate and resolve root causes while facilitating the appropriate escalation process and ensuring that corrective action is established and tracked on a periodic basis. This includes planning, assigning, monitoring and evaluating the work of each analyst assigned in the team
- Act as a Service Delivery Manager for a specific book by working with Finance and Risk partners to identify, prioritize and implement initiatives to optimize and improve organization’s overall risk weighted assets. This will require an understanding of finance and accounting, as well as key product dynamics including the impact of collateral, risk ratings and other drivers for Basel's RWA calculation
- Support the delivery of identified projects/initiatives which have been highlighted by the business as key deliverables for Basel RWA Reporting. This will require coordination with Finance/Risk and Technology partners
- Bachelor's and/or Master's degree in Finance, Accounting or related field
- 7+ years Finance, Credit Risk, Risk Management or Operations experience required with 3+ years of supervisory experience
- 2+ years experience at a large financial institution preferred
- Knowledge and exposure to Wholesale Banking (Loans, Leases, LCs, Unused Commitments) and Trading Book (Over the counter Derivates, SFTs) products, as well as, related Basel III reporting requirements is required
- Relevant experience in Risk Management or Regulatory Reporting required
- Exposure to Citi proprietary Finance and Risk reporting data flows and franchise systems (Optima, Pearl, RRI, etc) is highly preferred
- Experience in implementing and managing an operational process with relevant controls, reporting and metrics is required
- Must possess excellent analytical background and skill sets to come up with meaningful business insights
- Superior communication skills given exposure / interaction with senior business leads is required
- Project Management skills and exposure to IT systems development lifecycle is an advantage
- Ability to multi-task under strict deadlines demonstrating independent leadership skills
- Possess strong team building, planning and work skills driven by process improvement
- Exposure to global processes and teamwork across various locations and cultures desirable
- Self-motivated with the ability to make decisions in the absence of detailed instructions
- Willingness to work flexible hours
25
Regulatory Reporting Manager Resume Examples & Samples
- This role will provide financial support and oversight on a day to day basis to the local County Bank finance teams
- Act as the independent inspection person in relation to Banking balance sheet reconciliations. Your responsibility will be included onsite inspections of the reconciliations and processes in accordance with the Bank's policy and the policy requirements
- You will also oversee the CBRC and PBOC regulatory reporting processes from a finance perspective insuring compliance with all requirements on time
- Another key responsibility is to provide support regarding financial data for County Banking Supervisory Committee meeting paper
- Finally, you will coordinate any future capital injection processes insuring compliance with local and shareholder requirements
26
Senior Regulatory Reporting Manager Resume Examples & Samples
- Thorough knowledge and experience of BIPRU and EBA technical rules
- The ability to manage change to systems, processes and functional requirements
- An excellent understanding of the regulatory rules, keeping up to date with any new developments within: FCA, COREP, etc
- A clear understanding of our retail banking team’s needs
- The ability to provide expertise on new products and business changes
27
Regulatory Reporting Manager Resume Examples & Samples
- To monitor timely submission of reports prepared by Finance and Operations
- To perform a quality check on existing complex and critical submissions with focus on correct interpretation of reporting requirements
- To set up the internal control and quality assurance model for all regulatory reports within Finance and Operations with focus on accuracy, timeliness and completeness of reports
- To organize oversight in (upcoming) regulatory changes and timely embedding in reporting process
28
Regulatory Reporting Manager Resume Examples & Samples
- Good knowledge of financial services industry and basic understanding of core products covering money markets, capital markets and commodities
- Knowledge of PRA counterparty and / or Market risk rules (standardized)
- Understanding of risk and control
- Proven ability to meet tight deadlines
- Understanding of PRA rules and regulations
- IT skills (Microsoft Excel)
- Hardworking
- Reliable
- Able to navigate complexity
- Confident in dealing with people across different functions
29
Local Regulatory Reporting Manager CBS Legal Vehicle Resume Examples & Samples
- Coordinate all CBS LV activities. These all operations aspects of the legal vehicle including accounting, finance, controls and billing
- Will be responsible to interact with Senior Leadership to ensure that site priorities are properly communicated to the CBS team
- Will be responsible to represent the CBS legal vehicle in all activities where the legal vehicle is involved. Includes Site Management meetings, BRCC, CSC and others
- Coordinate all Audit activities. Interact with internal and external auditors in completing audits from the Site Perspective
- Work with Department Managers and Corporate Staff to guarantee the accuracy of the accounting information
- Analyze financial data and present financial reports in an accurate and timely manner; clearly communicate monthly, quarterly, and annual financial statements
- Ensure the monthly billing is accurate, properly booked and properly recovered following policy. This person is responsible of E2E of the process, which means oversight Calculations, Booking, Cash Reimbursement in compliance with the Transfer Price policy from the US perspective and Local requirements
- Ensure that expenditures are consistently aligned with current budget and monitor monthly expense variances
- Manage and monitor cash flow activity to ensure that the legal vehicle is properly funded to support operations as per MLE documentation
- Assure all account reconciliations are performed accurately and timely as part of the Balance Sheet Process and Rules of the road policy
- Provide support to the Finance Department during the Budget revision process
- Ensure compliance with Local and Corporate reporting
- Manage and safeguard Fixed Assets (FA), assuring they are properly booked and control in the FA system
- Perform other regulatory legislative task related to PROCOMER and to comply with Free Trade Zone requirements. Ensure agreements in place as described
- Write processes and procedures for the site as needed. Ensure that they are according to Citi policy
- Major Degree in Business Administration, CPA. (Licenciatura). (Preferred)
- 5/8 years of experience in Management & Accounting or Finance
- Controllership/CFO experience
- Procomer knowledge
- English C1
- Proficiency of finance, accounting, budgeting, and cost control principles
- Knowledge of financial and accounting software applications
- Ability to analyze financial data and prepare financial reports, statements and projections
- Excellent organizational and multi-tasking skills
- Excellent documentation skills
- Self-motivated and proactive
- Strong follow-up skills
- Ability to develop others
- Delegation skills
- Management abilities
30
AVP Regulatory Reporting Manager Resume Examples & Samples
- Build collaborative connections with peers throughout the organization to facilitate delivery of analysis
- Substantial autonomy to guide area of responsibility
- Seven years proven financial analysis and/or project management experience, or equivalent. Management and consumer financial services experience preferred
- Bachelor’s degree in finance, accounting, economics, mathematics, statistics, business management, related field or equivalent experience. MBA preferred
- Proficiency with personal computers and pertinent mainframe systems and software packages. Advanced spreadsheet and database knowledge preferred
31
Regulatory Reporting Manager Resume Examples & Samples
- Covering tax and regulatory issues focusing on superannuation clients within the FS industry
- Working closely with other team members across finance and the wider business
- Responding to client queries and building trusting relationships
- Looking to increase client revenue streams
- Seeking out ways to implement new process improvement opportunities
32
Regulatory Reporting Manager, Risk Advisory Resume Examples & Samples
- Coordinates with Senior Manager or Partner on all phases of the engagement, including execution of the project deliverables, communications with the project team, staffing requirements, job planning, and scheduling
- Manages relationship with client-side project members to facilitate project fulfillment
- Exercises independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
- Identifies further areas of value-add to create opportunities for future projects
- Serves as a key member in practice leadership
33
Financial & Regulatory Reporting Manager, VP Resume Examples & Samples
- Develop and maintain SOX framework and related internal controls for the reporting department
- Coordinate communications with a wide range of teams/departments including Operations, Controllers, Accounting Policy, Compliance, Originations, and internal and external auditors
- Additional skills desired
- 10-15 years of accounting experience (preferably 5+ years in Regulatory Reporting with a focus on leasing and/or structured finance products)
- Accounting degree required; CPA, active status suggested
- Excellent analytical, organizational and project management skills
34
Regulatory Reporting Manager Resume Examples & Samples
- Assesses, interprets, and analyzes customer needs and requirements
- Provides analytical support and expertise when compiling and reporting information
- Evaluates and presents information in a manner that will facilitate management's understanding of the results and impact
- Identifies solutions to non-standard requests and problems
- Translates concepts into practice and procedures
- Provides leadership with statistical findings and conclusions in analyzing interpreting trends and root cause analysis
- 7+ years of experience in health care informatics and performing analysis on health data metrics
- Experience directing and managing cross-functional teams
- Advanced level proficiency with SQL on a ORACLE or SQL Server database
- Advanced level of proficiency working with MS Excel, MS Access, VBA scripting including but not limited to advanced formulas, pivot tables, macros, lists, statistical functions, etc
35
Regulatory Reporting Manager Resume Examples & Samples
- To be responsible for the production of COREP and Stress Test regulatory information for HSBC Bank plc
- To work closely with internal stakeholders and coordinate the production of COREP and Stress Test reporting. To manage and develop BaU processes, and to migrate mature processes to the global production centre
- To work with Group Regulatory Reporting to provide STDF and Stress Test regulatory inputs (including regulatory metrics and commentary)
- To build tactical tools to facilitate the production of the required information and data
- To ensure compliance with regulatory requirements (CRR) and guidance from the Prudential Regulation Authority (PRA), the BoE, the EBA and BCBS
- To complete robust analytical and data review processes that ensures the information provided meets regulatory requirements and that the resultant calculations are accurate and reflective of the underlying transactions. This will include evidencing the results through the running of robust controls
- To ensure compliance with Group Regulatory Policy guidance on the interpretation of PRA rules
- To support HBEU Regulatory Reporting in process improvement initiatives
- To work with internal stakeholders to ensure the bank complies with new requirements, including Stress Test Data Models, IFRS9 and Ring Fenced Bank
- The role will also involve carrying out other BaU Regulatory Reporting responsibilities within the team as and when necessary
- Improve and maintain the quality of returns and information, maintaining the high level of confidence of regulators and stakeholders
- Assist in the preparation and review of returns for external submission and preparing supporting schedules and backup packs for senior management review
- Provide analysis and commentary on COREP and Stress Testing output
- Provide guidance to business areas/sites
- Addressing ad hoc data requests from senior management and Regulators
- Experience in a regulatory reporting role
- Knowledge and experience of Basel III/CRDIV
- Knowledge of accounting and consolidation issues
- Knowledge of current accounting and regulatory developments
- An understanding of consolidations systems and processes would be an advantage
- Experience in COREP report production
- Experience in Stress Testing
- Ability to learn to use new internal systems quickly and to perform data and systems analysis
- SQL and database skills, especially the ability to create tactical solutions to manipulate data
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Capital Regulatory Reporting Manager Resume Examples & Samples
- Capital regulatory reporting for the group and solo consolidations including COREP Own Funds and Large Exposures, legacy FSA IRR returns, Leverage etc
- External Regulatory Disclosure including Pillar 3, GSIB and the relevant parts of the Annual Report, Interim Management Statements and Interim announcements
- Capital Solutions including rapid development, internal assessment of new regulations and Quantitative Impact Studies
- Ownership of work streams for stress testing, internal management reporting, forecasting, regulatory liaison, industry group participation etc
- Be the SME supporting the Leverage Ratio project
- Support the Capital Reporting team to manage delivery of key reporting and ad-hoc data requests (especially as relates to Leverage) including
- Technical - technical aptitude, desktop programming (Excel, Access) SME investigating and understanding regulatory reporting rules
- Communicator - communicate financial and regulatory information
- Relator - utilise network to obtain information
- Control environment - understanding of operating in a highly controlled environment
- Focus - remain focused on the key deliverables
- Numeracy/analytical - prepare and analyse financial and regulatory information and report conclusions
- Accuracy - prepare and present information accurately
- Timeliness - meet tight deadlines maintaining highest quality standards
- Teamwork - contribute to the team effort and share the workload
- Intellectual - demonstrate understanding of financial and regulatory matters
- Creative - recommend solutions on financial and regulatory issues
- Change - adapt to changing reporting requirements and priorities
- Leverage ratio SME - CRR and PRA regimes
- Experience delivering desktop tactical solutions for Finance/Risk calculation and reporting in banking
- Experience in interpretation and design of tactical reporting solutions in order to meet ad-hoc reporting requests and ability to manipulate large data sets
- (Preferred) SQL, Moody's Fermat/RAY, Hyperion HFM
- (Preferred) Prudential Capital Regulatory knowledge - Basel III/CRDIV and familiarity with upcoming change in regulation
- Good product knowledge, especially trading book products and impact on Leverage
- Experience of working under pressure to produce high quality reporting in a highly controlled environment
- Experience of supporting Finance/Risk/Regulatory Change initiatives and projects
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Regulatory Reporting Manager Resume Examples & Samples
- Minimum 5 years experience regulatory reporting
- Managerial experience within finance is essential
- Previous experience with the submission of EBA, FCA and Bank of England reports
- Subject matter expert within Credit Risk , Market Risk and Liquidity
- Subject matter expert with BOE and PRA reporting
- Working knowledge of IFRS standards
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Interim Regulatory Reporting Manager Resume Examples & Samples
- Research and implement new and revised regulatory reporting requirements, as well as evaluate the regulatory requirements for new products/transactions. Research and resolve issues; provide recommendations; escalate to senior management, as needed
- Provide integration support, regulatory examination and internal audit support and remediation for BASEL Reporting team
- Must understand BASEL rules
- Experience with project management, M&A, and data sources
- Bachelor's degree in Finance or Accounting
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Financial & Regulatory Reporting Manager Resume Examples & Samples
- Plan, prepare, review and file annual and semiannual financial statements of the funds under administration
- Manage and train Financial Reporting Administrator(s) on all aspects of the financial statement production
- Assist in reviewing and improving the performance of team members
- Develop enhancements to existing financial/regulatory reporting processes
- Attend board meetings to present financial statements
- Keep up to date with applicable accounting and regulatory reporting requirements
- Build and maintain a strong relationship with clients and audit firms
- Manage the FATCA requirements for clients, to include; understanding the regulations, completing the filing and developing an effective process for gathering, storing and enhancement of FATCA relevant data
- Review Form PF filing for Clients
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Regulatory Reporting Manager Basel Reporting Lead Resume Examples & Samples
- Prepare and present senior management metrics highlighting key issues and remediation status, progress on strategic initiatives, as well as, other key items requiring Senior Management escalation and sponsorship
- Implement and execute operational procedures, ensuring key controls are in consistently executed, continuously reviewed and optimized for this fluid Basel reporting/regulatory environment. Works in cooperation with peers on establishing objectives and developing processes to ensure efficient and timely work flow with a key focus on service delivery and regulatory compliance
- Represent the organization with external parties including auditors and regulators
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Regulatory Reporting Manager Resume Examples & Samples
- At least 8-10 years of banking experience in two out of three of the following categories: a) Big 4 Public Accounting b) Regulatory Reporting c) Bank Accounting
- Candidates should have regulatory experience either from a Big 4 Public Accounting, applicable Big 4 advisory services, Internal Audit or regulatory agency
- Solid knowledge of generally accepted accounting principles and regulatory guidance experience
- Strong analytical, organizational and problem solving skills; including research skills regarding current and prospective updates to regulatory reporting
- Must be team-oriented
- Must be able to handle multiple assignments and be deadline oriented
- Good project management skills
- Demonstrates strong attention to detail and accuracy
- Bachelor’s degree (B.A.) from four-year college or university
- Candidates should have regulatory experience either from a Big 4 Public Accounting, applicable Big 4 advisory services, Corporate Internal Audit or regulatory agency
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Regulatory Reporting Manager, VP Resume Examples & Samples
- Manage the production of RWA for Basel Advanced methodology including preparing memos and work papers documenting processes & procedures used for quarterly reporting
- Assist with providing subject matter knowledge and & supporting analysis successfully report new financial products to the Bank’s risk weighted assets, including: RWA system analysis, interpretation and application of Basel Final rules, and education of LOB partners
- Identifying opportunities for new processes or process improvement , Analyze manual processes and implement automated replacements
- Update and maintain the procedural, internal control and Basel Advanced qualification documentation. Prepare memos and work papers documenting processes & procedures used for quarterly reporting
- Bachelors required, MBA preferred, with advanced understanding of balance sheet and income Bachelor's Degree or Master's Degree preferred
- 3 + years in financial analytical role with Finance Industry experience preferred
- Basel Advanced and Standardized rules experience preferred
- Understanding of the key drivers of capital adequacy and of key risk components (Market, Credit & Operational)
- Knowledge of database structure and SQL, data analysis and/or modeling experience desired
- Excellent time management skills and the ability to work under time pressure and handle multiple tasks/projects at the same time
- Problem resolution experience requiring strong analytical skills, sound judgment and ability to work effectively with technical staff
- Advanced skills in Microsoft Excel including VBA and PowerPoint
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Regulatory Reporting Manager Resume Examples & Samples
- Extensive 15c3-1 knowledge required
- Some Futures knowledge would be a plus
- 7+ years� experience in Broker Dealer Regulatory Reporting
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Financial & Regulatory Reporting Manager Resume Examples & Samples
- Prepares balance sheets, profit and loss statements, and other financial reports
- Responsibilities also include analyzing trends, costs, revenues, financial commitments, and obligations incurred to predict future revenues and expenses
- Reports organization's finances to management, and offers suggestions about resource utilization, tax strategies, and assumptions underlying budget forecasts
- Preparation of assigned financial regulatory reports. Conduct investigations of errors and variance analysis independently
- Recommend procedural changes to address problems and to ensure accuracy, completeness and timeliness of reporting
- Independently research and analyze regulatory pronouncements, reporting requirements and other accounting documents
- Ensure regulatory reporting requirements are clearly communicated to the business units providing source data for the reports
- Respond to internal/external inquiries regarding financial data reported or filed. Provide lead guidance to other staff members
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Regulatory Reporting Manager Resume Examples & Samples
- Prepare, maintain, review, and submit regulatory reports as assigned to the regulatory and other governmental reporting agencies in a complete, accurate and timely manner
- Ensure compliance with the policies and procedures governing responsibilities in external financial reporting
- Review items escalated on data certifications, data quality and analytics
- Review variance analyses performed by the supporting Business Units and the department, and follow up with the staff for items requiring investigation and revision
- Assign and monitor the workload of the team, hire/coach/and develop the team’s staff on the preparation and review of regulatory reports and supporting work-papers in accordance with regulatory requirements and instructions, and coordinate and review the data
- Coordinate with the Business Units and other areas of Corporate Accounting to incorporate new GL accounts, products, systems and other changes that impact regulatory financial reporting. Ensure data mapping between the General Ledger, legacy systems, and the regulatory financial reporting software is complete, accurate, consistent with GAAP accounting, except where required to be different
- Assist in evaluating the impact of certain business decisions including acquisitions, accounting system modifications, or purchases of new product initiatives as related to regulatory reporting
- Contribute to special projects in response to corporate initiatives and regulatory instructions/requirement changes, as well as coordinate and oversee projects to improve and maintain the regulatory financial reporting processes
- Research and evaluate the interpretations of regulatory reporting requirements with the Regulatory Financial Reporting Department Director and Managers, Chief Accounting Officer (CAO) and other key decision makers. In addition, stay up to date on the applicable regulatory reporting laws, instructions and requirements, and communicate to the accounting and business units staff accordingly
- At least 10 years or more of relevant accounting or financial reporting experience is required
- Must have a Bachelor’s Degree in Accounting or Finance, and a CPA and/or MB is strongly preferred
- Experience working at a Bank or Public Accounting firm is required
- Must have a well-developed understanding of GAAP (Generally Accepted Accounting Principles) and regulatory accounting rules
- Prior supervisory experience is required
- Strong Microsoft Office (particularly excel) and Access are required
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Regulatory Reporting Manager Resume Examples & Samples
- Ability to prepare Audited Financial Statements, CPO PQR, 10Q/K with footnotes
- Strong working knowledge of GAAP as it related to the regulations of hedge funds and investment vehicles
- Ability to interact with other departments in the organization
- Ability to work with a sense of urgency to meet internal and regulatory deadlines and address competing priorities
- Proficient skills with Microsoft Office software including Word, Excel, PowerPoint and Outlook
- Effective written, listening and verbal communication skills
- Effective problem solving and follow-through skills
- Minimum of 2 - 5 years of experience with preparing Audited Financial Statements and SEC reporting required
- Experience working within financial services industry preferred
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Capital Plan Regulatory Reporting Manager Resume Examples & Samples
- Manages a team that performs quality assurance reviews for data accuracy as well as validating conformance with the instructions issued by the appropriate Federal regulatory authority for a sub-section of the FR Y-14 and DFAST-14 reports. The filings are broken into Y-14M/Q instrument level or Y-14Q/A financial statement level filings
- Reviews execution of controls and identifies areas of process improvements or gaps
- Monitors regulatory rules and FAQs for changes to reporting requirements, ensures changes are implemented timely and controlled
- Interacts and collaborates with various schedule preparers to interpret schedule instructions
- Works closely with the Regulatory Reporting department to ensure appropriate coordination and reconciliation among various regulatory filings, where appropriate
- Bachelor's degree in accounting, business or business related field
- 7-10 years of experience in auditing, bank accounting/reporting, budgeting/forecasting, or other regulatory-related experience
- Experience should include knowledge of banking regulations and/or core banking process
- Demonstrated ability to meet deadlines and manage a team
- Demonstrated ability to partner cross-functionally to deliver results
- Demonstrated the ability take initiative for process improvement
- Strong written and verbal communication skills with the ability to interface and proactively engage with different levels of management
- Proficiency in Excel (i.e. VLOOKUP, pivot tables, etc.) required
- Familiarity with loan systems (e.g. AFS, Hogan, MSP, etc.) and Essbase a plus
- Some weekend and evening work required especially around quarter end deadlines
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Regulatory Reporting Manager Resume Examples & Samples
- Production of various FR Y-14Q schedules and adherence with tight reporting deadlines
- Implement target state operating model, including standard data sources for all reporting processes using securities data
- Liaise with reporting Subject matter experts within regulatory reporting to drive centralized processes for reporting of securities
- Prepare and present business review packages, including governance processes that ensure the accuracy, completeness and relevance of CCAR as well as variance analyses that explain fluctuations in terms of business events
- Participate on regulatory examinations and internal audit reviews
- Serve as a Subject Matter Expert for Securities, providing guidance and direction
- In-depth understanding of financial and banking products including GAAP and regulatory reporting principles
- 5+ years of relevant finance experience in a large corporate environment
- 2-6 years of experience in US Regulatory Reporting, Internal/External Audit, SOX Compliance, Financial Analysis
- Organizationally savvy; can work across organizational lines to gain consensus and buy-in from stakeholders
- Able to build and leverage existing relationships to influence outcomes and drive decisions
- Execution-oriented; with ability to quickly organize work and execute with speed
- Able to manage multiple threads of work and balance/decision competing priorities
- Excellent communication skills – written and verbal
- Strong team engagement skills Unquestionable business and personal integrity and values congruent with those of the organization
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Regulatory Reporting Manager Resume Examples & Samples
- Production of FR Y-14Q/M schedules and adherence with tight reporting deadlines
- Implement target state operating model, including standard data sources for all FR Y-14Q/M schedules
- Liaise with reporting Subject matter experts within regulatory reporting to drive centralized control framework
- Oversee the preparation of business review packages and present to senior stakeholders which includes governance processes that ensure the accuracy, completeness and relevance of CCAR as well as variance analyses that explain fluctuations in terms of business events
- Develop control reports for internal and external edit checks; review and validate business responses
- Serve as a Subject Matter Expert for FR Y14Q/M schedules, providing guidance and direction
- 8+ years of relevant finance experience (regulatory) in a large corporate environment
- Excellent communication skills – written and verbal Ability to develop, lead and manage teams Strong team engagement skills
- Strong technical skills, ability to access and manipulate large volumes of data
- Unquestionable business and personal integrity and values congruent with those of the organization
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Liquidity Regulatory Reporting Manager, VP Resume Examples & Samples
- The Liquidity Regulatory Reporting Manager is responsible for executing financial reporting requirements for the 2052a and ensuring that the report is completed with the requisite processes and controls
- This individual will work as part of a team of analysts in the coordination, consolidation and filing of the report
- Partner closely with other business areas in the completion of this report including, Treasury, Risk, Controllers, Technology, and Business line management across multiple entities as part the reporting process
- Support the Liquidity Regulatory Reporting Director in establishing and managing the relationship with the appropriate regulators as well as lead agency exams and interactions as they relate to the 2052a filings
- Provide analytical support as it relates to the data collection and submissions
- Work closely with our business and technology partners to build and improve existing processes
- You will be part of the project team that will substantially enhance the end to end reporting process over the next year
- Develop and contribute to regular updates to senior leadership and work cross-functionally on a high-profile regulatory disclosure
- Finance or accounting degree with 7+ years related experience, including a minimum of 3 years in the financial services industry
- CFA and/or MBA designation is desired
- Public accounting (Big 4) or consulting experience is a plus
- Experience developing Liquidity reporting infrastructure or managing Liquidity and/or Advanced Approach Basel III calculation/reporting function for a major financial services company
- Prior experience with other complex disclosures such as the 14 M/Q/A is also desirable
- Must have a deep interest and expert level knowledge of the Liquidity framework and Basel III Liquidity related rules
- Solid understanding of regulatory changes and developments as they relate to the FR 2052a
- Comprehensive knowledge of other Bank Regulatory Reports, Financial Statements and understand the overlap in requirements between reports to ensure accuracy and consistency
- Strong knowledge of core banking products and their related cash flow behavior; as well as instrument level data collection and analysis processes
- Strong knowledge of accounting and balance sheet composition
- Strong technical understanding of data analysis and management; experience with managing and analyzing large quantities of data from multiple sources
- Excellent communication skills (both written and verbal) as well as strong interpersonal skills to facilitate building relationships across multiple functional areas, legal entities as well as with the Bank’s regulators
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Broker Dealer Regulatory Reporting Manager Resume Examples & Samples
- Drive forward the firm’s Broker-Dealer regulatory reporting process improvement and remediation efforts pertaining to SEA Rules 15c3-1 and 15c3-3
- Work with multiple stakeholders around the firm (including Operations, BRM, Treasury, Legal & Compliance) to analyze and document business activities and booking models in the scope of Broker Dealer regulatory requirements
- Develop and build enhanced approaches to varying aspects of the Customer Reserve Formula and Net Capital calculations, based on remediation work and analysis of systems and flows
- Liaise with the Regulatory Controller’s production team to integrate new processes, process changes, and control enhancements
- Communicate remediation status updates at governance meetings and work closely with project management teams to ensure proper tracking of deadlines and objectives
- Strong analytical skills, a “doer’s” mentality, and an inquisitive mindset
- Creative and critical thinking skills to identify issues and propose solutions
- Strong communication skills (must possess ability to present technical subject matter in a clear and concise manner to high-level audiences)
- Strong organizational skills and an ability to prioritize tasks to ensure key deadlines are met
- Ability to manage multiple workflows concurrently
- 5-7 years of relevant experience
- Experience with SEA Rules 15c3-1 and 15c3-3
- Other Regulatory Reporting experience
- Master’s Degree or MBA
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Tax / Regulatory Reporting Manager Resume Examples & Samples
- Responsible for the timely data gathering, compilation and/or review (in conjunction with Senior Leadership) and filing of the following documents
- Minimum 6 years progressively complex general ledger accounting experience; healthcare experience required
- Degree in finance, accounting or healthcare administration preferred
- Washington State CPA – preferred
- Masters in Taxation - preferred
- Ability to participate in cross functional groups to build better transaction workflows and data streams that support financial reporting and efficiency
- Experience in cost reporting for Medicare and project management strongly preferred
- Strong communication skills for interaction with Medicare auditors
- Strong communication skills with the ability to relay reimbursement knowledge is general terms
- Strong analytical skills preferred
- Proficiency in excel strongly preferred
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Regulatory Reporting Manager Resume Examples & Samples
- Accounting degree
- 5-10 years of related experience
- 3+ years of Bank Regulatory experience
- Prior banking experience
- Demonstrated understanding of financial services disclosures
- CCAR 2052-A knowledge
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Regulatory Reporting Manager, VP Resume Examples & Samples
- Minimum 10 years relevant experience, including a minimum of 5 years banking experience and 3 years managerial experience. In-depth knowledge of banking regulatory reporting rules and regulations, and US GAAP
- Accounting or finance degree is required
- Strong accounting and financial reporting experience (in banking/financial industry experience a major plus)
- CPA or Chartered Accountant, or equivalent, is strongly preferred Public accounting experience including banking industry experience is a plus
- Proven technical accounting and financial statement preparation experience
- Demonstrate a high degree of accuracy in data analysis
- Strong capability of working both collaboratively and independently to meet tight filing deadlines, and flexibility in handling moving targets. Excellent communication skills (both written and verbal) and interpersonal skills
- Proficient in Microsoft suite of products – Word, Excel
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Regulatory Reporting Manager Resume Examples & Samples
- Learn the Regulatory Reporting functions and understand the day to day process
- Be subject matter expert in report regulations in key markets
- Perform deep dive analysis, rule interpretation, gap and impact analysis to highlight areas of concern in the existing process
- Develop structured and well-defined project deliverables including requirement specification, gap analysis, design document, test package, change management plan, and deployment process for tactical and strategic system enhancement / replacement projects
- Identify and recommend infrastructure and reporting improvement needs, and advise practical solutions to address those needs
- Support business case formulation / review and project approval / prioritisation process
- Post management and other stakeholders to maintain expectation and effective working relationships
- Assists with the completion of the transformation from ‘change’ to ‘business as usual’
- Support daily production as and when required
- Minimum 5 years of experience in financial industries (e.g. investment bank, asset management firm, accounting firm)
- Prefer with prior experience on business analysis / auditing / compliance testing / assurance review / consultancies
- Knowledge of the financial markets, preferably with experience in mutual funds or wealth management
- Ability to read, understand and interpret complex regulations and policies
- Ability to understand complex workflows and strong on data analysis
- Ability to learn quickly and work under pressure with tight deadlines
- Experience in requirement gathering, process design, test coordination, and project issues / risks tracking
- Collaborative team player and self-starter, with flexibility to work under a culturally-diverse environment
- Proficient in MS Office and MS Project
- Excellent command of written and verbal English
- Chinese, Korean or Japanese proficiency is a plus
- Experience in regulatory reporting area is a plus
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Senior Regulatory Reporting Manager 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 Irish 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
- Qualified Accountant (ACA, ACCA)
- Detailed knowledge and past experience of UCITS reporting, COREP capital and liquidity reporting under CRD IV and Central Bank of Ireland statistical reporting
- Knowledge of FinStudio system would be an advantage
- Highly organised with ability to meet strict deadlines
- Team player, with strong ability to influence and communicate
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Regulatory Reporting Manager Resume Examples & Samples
- Develop and maintain expertise in regulatory requirements
- Prepare, review and file regulatory/financial reports
- Maintain knowledge of regulatory reporting rules by monitoring regulator websites and industry publications
- Analyze rule proposals; gather input from subject matter experts and participate in comment letters to regulators
- Make and document rule interpretations when necessary with input from subject matter experts, SunTrust management, and industry peers
- Update processes as rule changes occur, ensuring that data providers understand the new or clarified rules
- Ensure that all changes go through stringent change control process to reduce risk of error
- Plan work effort to ensure all reports are filed timely
- Evaluate processes and environment for control effectiveness to ensure accuracy of data reported
- Proactively identify process improvements to increase efficiency and reduce risk
- Other support
- Bachelors Degree in Accounting
- Ten or more years of relevant experience
- Financial Services background preferred
- Solid communication, analytical and documentation skills with attention to detail
- Highly accountable
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SEC & Regulatory Reporting Manager Resume Examples & Samples
- Participate in preparing, compiling, proofing and quality controlling the bank’s SEC filings, including 10-Qs, 10-Ks, and earnings releases, in an accurate and timely manner in compliance with U.S. GAAP, SEC and other regulations
- Compile the bank’s regulatory Call Reports and ensure consistency with other financial statements
- Project manage the quarterly and annual reporting process, including preparing, monitoring for completion, and updating the quarterly ‘Request from Information’ from internal bank departments and ‘Prepared by Client’ listings requested by external auditors
- Project manages the distribution of draft documents to the external stakeholders and to the Disclosure Committee and manages the SOX sub-certification process
- Assist in the maintenance of XBRL detailed tags for the bank’s footnotes and financial statements. Assist in rolling forward the SEC filings and migrating between taxonomies and determining tags for new disclosures
- Prepare the supporting workbook and related tie-out to the external auditors for the quarterly filings
- If needed, assist in re-engineering existing processes to improve efficiencies and enhance controls in financial reporting
- Contribute to the efficiency of the SEC and Regulatory Reporting Group by participating in cross training, sharing job responsibilities, and serving as position backup for SEC and Regulatory Reporting Senior Manager
- Assist in complying with SOX disclosure and internal control requirements by developing, maintaining, and testing documentation and processes around reporting controls
- Participate in bank’s business resumption planning, prepare test scripts and provide support in disaster recovery testing
- Perform ad hoc projects as requested
- Minimum 8 years of experience in accounting and of financial reporting required
- Dedicated to meeting the expectations and requirements of reporting issues
- Strong working knowledge of U.S. GAAP
- Strong written and oral communication and ability to relate and communicate effectively across all levels of staff inside and outside the department
- Bachelors’ degree with a major in Accounting required, CPA preferred
- Proficient with Microsoft Excel and Word software applications required
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UK Regulatory Reporting Manager Resume Examples & Samples
- Communication and influencing – genuine two-way communication to achieve consensus and progress
- Teamwork and collaboration – working together to deliver results
- Technical – Detailed understanding of regulatory reporting requirements
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Regulatory Reporting Manager Resume Examples & Samples
- Direct and oversee processing of complaints and adverse event reports
- Communicate to management complaints and adverse event reports
- Direct and oversee all activities related to corrections and removals, field safety corrective actions, including associated documentation
- Communicate with FDA and regulatory bodies regarding corrections and removals and field safety corrective actions
- Ensure latest versions of FDA, MDD, ISO13485 and CMD Rrequirements are reviewed for any changes related to Complaints, Adverse Event Reports and field actions. Implement as necessary
- Make recommendations for staff and equipment and have significant input into personnel matters
- Implement policies, programs and directives of senior management
- Interview, select and approve all training for employees
- Foster and maintain a workplace culture respectful and supportive of individual differences
- Must work and interact effectively and professionally with and for others throughout various levels of the global organization
- Must strictly adhere to safety requirements
- Maintain regular and punctual attendance
- Must maintain company quality and quantity standards
- Must have effective oral, written and presentation communication skills
- Ability to remain calm and receptive in fast paced situations
- Must have excellent analytical and problem solving skills
- Bachelor of Science degree in related area or 3 years of experience in a quality or regulatory function
- Minimum 2 years of experience with FDA and GMP regulations
- Demonstrates knowledge of medical device regulation (ISO 13485, 21CFR parts 803, 806, 820 and MEDDEV)
- Proficiency in the Microsoft Office suite of products (Word, Excel, Powerpoint and Outlook) is required
- Critical thinking and attention to detail required
- Excellent verbal communication skills and technical writing
- Must be able to perform the essential functions of the job, with or without reasonable accommodations
- Work is performed in a normal office environment with majority of day spent sitting and moving around the department
- Requires occasional early morning or evening teleconferences
- Must be willing and able to travel as necessary
