Hybrid Regulatory Reporting QA Analyst

SMBC; Charlotte (NC); Hybrid; USD 75,000 - 115,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

SMBC Group is seeking a Regulatory Reporting Quality Assurance (RRQA) Associate within its Finance Control Oversight function to conduct independent assessments of U.S. regulatory reporting processes.

The role focuses on testing internal controls, data accuracy, and reporting logic conformance, under the guidance of assessment leads and Directors. The position emphasizes analytical problem-solving, collaboration with Finance, Risk, Technology, and Operations, and development of expertise in U.S.

Qualifications

• Bachelor’s degree in accounting, finance, business analytics, information systems, or a related field.
• 3+ years of experience in audit, internal controls testing, regulatory reporting, risk management, or a related discipline.
• Familiarity with data governance, data quality concepts, and regulatory reporting processes is a plus.
• Strong analytical, critical thinking, and problem-solving skills.
• Strong written and verbal communication skills, with the ability to clearly document work and communicate findings.

Responsibilities

• Assist with assessment planning activities, including preliminary analysis to understand regulatory report production and data sourcing processes and associated risks and controls.
• Perform walkthroughs, assess risks, profile data, select samples, and perform data analysis in accordance with RRQA methodology and FCO Standards.
• Execute testing procedures to evaluate internal control effectiveness, reporting logic conformance, and transaction-level data accuracy.
• Prepare clear and comprehensive workpapers that document testing procedures, assumptions, observations, supporting evidence, and conclusions, in accordance with FCO Standards.
• Perform follow-up testing to assess the effectiveness of remediation actions for previously identified issues.
• Document validation results and support issue closure determinations.
• Collaborate with business partners to obtain documentation, understand processes, and discuss testing results.
• Communicate testing observations and information requests professionally and effectively.
• Build knowledge of U.S. regulatory reports, banking products, data flows, and regulatory reporting requirements.
• Participate in training and continuous learning opportunities to enhance technical and regulatory expertise.

Skills

Analytical skills

Problem-solving

Communication skills

Excel

PowerPoint

Data analysis

Education

Bachelor’s degree in accounting, finance, business analytics, information systems, or a related field

Tools

Excel

Word

PowerPoint

Job description

SMBC Group is seeking a Regulatory Reporting Quality Assurance (RRQA) Associate within its Finance Control Oversight function to conduct independent assessments of U.S. regulatory reporting processes.

The role focuses on testing internal controls, data accuracy, and reporting logic conformance, under the guidance of assessment leads and Directors. The position emphasizes analytical problem-solving, collaboration with Finance, Risk, Technology, and Operations, and development of expertise in U.S.