Regulatory Reporting & Controls Specialist

National Black MBA Association; Jacksonville, Northern (FL, KY); Hybrid; USD 85,000 - 120,000; Full time

Job summary

Bank of America is seeking an Regulatory Reporting Operations Professional to support the CACG within Global Markets Operations. You will oversee regulatory oversight processes, monitor control effectiveness, and drive improvements across broker-dealer operations.

The role requires analytical rigor, strong communication, and the ability to manage audits and regulatory examinations, with opportunities to lead small-to-mid sized projects and leverage data analytics and automation to enhance

Qualifications

• 1–3 years working knowledge of U.S. customer protection rules (e.g., SEC Rule 15c3-3, CFTC regs)
• Ability to design, implement, and improve regulatory controls
• Operational knowledge of broker-dealer operations (accounts, reconciliations, settlements)
• Experience using KRIs, KPIs, and process health metrics to measure control effectiveness
• Experience supporting internal audits, regulatory examinations, and issue remediation
• Strong data analysis, trend identification, root-cause investigation, and risk assessment
• Demonstrated ability to drive process improvements and operational efficiency
• Strong cross-functional influencing and collaboration skills to drive outcomes
• Self-starter with ownership mindset in fast-paced environments
• Clear, concise communication to senior leaders, auditors, and regulators
• Experience leveraging data analytics and emerging tech to enhance controls

Responsibilities

• Own regulatory oversight processes and controls to ensure client asset protection compliance
• Monitor process health metrics and control performance to identify risks and plan improvements
• Assess design and effectiveness of systems, processes, and controls via data analysis and root-cause investigations
• Partner with cross-functional stakeholders to implement control, process, and tech enhancements
• Administer third-party custodial account processes including setup, maintenance, coding, and reconciliation
• Identify, document, and escalate risks, gaps, and incidents for timely resolution
• Serve as SME for audits, regulatory exams, incident remediation, and change initiatives
• Leverage automation and data-driven insights to boost controls and drive efficiency

Skills

Regulatory Knowledge

Control & Risk Management

Operational Knowledge

Control Monitoring

Audit Readiness

Analytical Thinking

Process Improvement

Stakeholder Management

Ownership

Communication Skills

Data & Tech Proficiency

Tools

Power BI

Alteryx

Python

SQL

Excel

Copilot

Teams

Job description

Bank of America is seeking an Regulatory Reporting Operations Professional to support the CACG within Global Markets Operations. You will oversee regulatory oversight processes, monitor control effectiveness, and drive improvements across broker-dealer operations.

The role requires analytical rigor, strong communication, and the ability to manage audits and regulatory examinations, with opportunities to lead small-to-mid sized projects and leverage data analytics and automation to enhance