AVP Bank Regulatory Reporting

Madison-Davis, LLC; New York (NY); On-site; USD 180,000 - 185,000; Full time

Job summary

A leading company in financial services is looking for a Vice President to manage and enhance regulatory reporting processes. The ideal candidate will possess extensive experience in financial reporting and hold relevant certifications such as CPA or CFA. This full-time position requires strong project management skills and expertise in regulatory compliance.

Qualifications

• 5+ years experience in financial institutions focused on regulatory reporting.
• Preferably holds a CPA or CFA.
• Strong understanding of broker dealer regulatory reports.

Responsibilities

• Assist with regulatory report preparation and review.
• Communicate observations to management and stakeholders.
• Support management during regulatory exams and ensure compliance.

Skills

Regulatory Reporting

Project Management

Data Analysis

Education

CPA or CFA representation

Job description

2 days ago Be among the first 25 applicants

Office Status: 2-3 times per week in office

Salary: Up to 185k base

Overview:

The position will (1) assist the planning and execution of periodic reviews of regulatory reports to ensure that reports are prepared in accordance with regulatory reporting instructions and guidance, regulators’ expectations, and industry best practices. (2) communicate observations and enhancement opportunities to senior management as well as other key stakeholders such as regulatory reporting production teams, financial accounting teams, internal audit, data management office, Operation, and IT. (3) support management with regulatory exams formulating interim communications with the regulators. This includes reviewing materials and coordinating across multiple departments to prepare presentation materials. The position requires wide breadth of expertise in various regulatory reporting, especially for broker dealer regulatory reports, as well as experience in managing projects and staff members.

Responsibilities:

• Conduct planning with various regulatory reports, especially broker dealer regulatory reports such as FOCUS, SSOI, OBS reports. In depth knowledge on 15C3-1 and 15C3-3 calculation is expected for this candidate
• Operate independently of the day-to-day regulatory report testing and validation processes for the accuracy and completeness of regulatory reports in accordance with regulatory reporting instructions and guidance, regulators’ expectations, and industry best practices. Conduct investigations or perform research to drive conclusions on any questions brought up from the testing. Testing procedures include risk ranking, data analysis/ profiling, transaction testing, control testing and conformance review; consolidate findings for QA Quarterly Report
• Report, monitor and escalate issues to management or other relevant stakeholders on a periodic basis, monitor issue remediation status, drive issues to closure and validate issue remediation's
• Interact with various business areas for potential enhancements to the regulatory reporting processes

Qualifications:

• CPA or CFA or equivalent certification preferred
• 5+ years of relevant experience at large and complex financial institutions in performing financial and/or regulatory reporting, regulatory reporting quality assurance or internal audit

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing, Finance, and Consulting

• Industries

  Investment Banking, Financial Services, and Capital Markets

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