Regulatory Reporting QA Specialist - Hybrid

SMBC Group; Charlotte (NC); Hybrid; USD 95,000 - 125,000; Full time

Benefits offered by this job

Hybrid work model

Accommodations for applicants

Job summary

SMBC Group in Charlotte, NC is seeking an RRQA Associate to support independent risk-based assessments of U.S. regulatory reporting processes to evaluate reporting accuracy, completeness, conformance with regulatory requirements, and effectiveness of related controls.

The Associate participates in testing activities focused on internal control effectiveness, reporting logic conformance, and the accuracy of underlying transaction-level data.

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.
• Basic understanding of U.S. regulatory reporting requirements and banking products (loans, deposits, derivatives, securities) preferred.
• Strong written and verbal communication skills, with the ability to clearly document work and communicate findings.
• Familiarity with data governance, data quality concepts, and regulatory reporting processes is a plus.

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.
• Collaborate with business partners to obtain documentation, understand processes, and discuss testing results.

Skills

Analytical thinking

Written & verbal communication

Team collaboration

Problem solving

Data governance awareness

Education

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

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Job description

SMBC Group in Charlotte, NC is seeking an RRQA Associate to support independent risk-based assessments of U.S. regulatory reporting processes to evaluate reporting accuracy, completeness, conformance with regulatory requirements, and effectiveness of related controls.

The Associate participates in testing activities focused on internal control effectiveness, reporting logic conformance, and the accuracy of underlying transaction-level data.