Regulatory Reporting Resume Sample
Zechariah Bahringer
9129 Wiza Point,
San Francisco,
CA
+1 (555) 782 0681
Work Experience
Regulatory Reporting Specialist
04/2017
-
PRESENT
San Francisco, CA
- Assist the Firm’s Regulatory Inquiries Group and Examinations Team with FINRA and SEC Regulatory requests
- Support the delivery of continuous improvement as part of RAD Team objectives through business analysis, design, development and delivery of complex Microsoft Office, predominately MS Excel and Access, solutions
- Drive and implement best practice across Finance
- Seen as subject matter experts in supporting systems and continuous process improvement requirements
- Automate and optimise existing inefficient or manual processes
- Effectively manage the demand for automating processes or steps in processes across the Global Finance function
- Provide a fast response for requests from within Finance for quick systems solutions
- Support the development, maintenance and reporting of the data models (Excel & Microsoft Access) to meet customer demand for financial information and providing analysis of underlying data
Regulatory Reporting
07/2010
-
01/2017
Boston, MA
- Deal with ad hoc services, complex queries or analysis of existing processes
- Managing the preparation and submission of HWASI’s Form 1 to MFDA and OSC
- Reviewing the EGL adjustment entries and maintaining the control list for the department’s EGL entries
- Managing the calculation of any impact to profit and loss, and ensuring the accurate and timely preparation and analysis of the income and investment reports to be submitted to the Bank’s Accounting Policy and Procedures (APP)
- Ensuring there is fair and equitable treatment of employees in keeping with the bank’s guidelines and principles
- Substantial experience and familiarity with the Bank’s accounting systems and procedures
- Implementation of new Global capital calculation engine and associated analytics (RCDH)
- Implementation of new CoRep reporting platform in Axiom
- Implementation of Basel Pillar 3 disclosures
Regulatory Reporting Junior Analyst
04/2006
-
04/2010
Boston, MA
- Maintain and enhance existing data & reporting models (Excel & Microsoft Access)
- Build financial modelling solutions to aid effective decision making within the business
- Consulting with colleagues or clients especially relating to the Risk and EUC logs
- Building new and enhancing existing MS Excel and Access models (design consultant & development)
- Testing, diagnosing and fixing faults in developments (mostly MS Excel and Access)
- Identifying opportunities for new developments
- Providing written documentation for users
- Reviewing and developing the current systems and EUC tools
Education
Central Washington University - Lynnwood Campus
2001 - 2005
Bachelor's Degree in Accounting
Professional Skills
- Strong communication skills, both oral and written, to include strong procedure and writing skills in English
- Strong Excel skills as well as strong analytical and problem-solving skills across large data sets
- Excellent communication skills (both written and verbal) and interpersonal skills Strong knowledge of banking/financial services industry
- Strong analytical skills with an ability to understand complex workflows required - Proven ability to organise and prioritise own workload and drive results
- Strong excel and systems skills, coupled with the ability to multi-task and prioritise
- Strong risk and control mind set, with strong communication skills, drive and commitment
- Strong analytical and technical skills for designing, coding and developing tests
How to write Regulatory Reporting Resume
Regulatory Reporting role is responsible for analytical, interpersonal, excel, microsoft, organization, english, accounting, reporting, organizational, advanced.
To write great resume for regulatory reporting job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Reporting Resume
The section contact information is important in your regulatory reporting resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Regulatory Reporting Resume
The section work experience is an essential part of your regulatory reporting resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous regulatory reporting responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regulatory reporting position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Reporting resume experience can include:
- Strong communication and team-working skills, ability to effectively work across different clients and stakeholder groups
- Excellent analytical, problem solving and critical thinking skills, with strong attention to detail
- Excellent Microsoft Excel knowledge required. Strong teamwork ethic and organizational skills
- Proven skills in reporting MI to a variety and seniority of stakeholders, extracting key themes and presenting in a clear, concise format
- Strong analytical skills and the ability to correlate general ledger, data and reporting impacts across different interfacing applications and data flows
- Strong interpersonal, analytical, facilitating, decision making and organization skills
Education on a Regulatory Reporting Resume
Make sure to make education a priority on your regulatory reporting resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory reporting experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Regulatory Reporting Resume
When listing skills on your regulatory reporting resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical regulatory reporting skills:
- Strong communication and team-working skills with a proven ability to effectively work across different clients and stakeholder groups
- Prior team management experience including strong coaching skills and ability to mentor others to achieve a high performance culture
- Effective team player, with good coaching and leadership skills
- Excellent analytical skills and a proven problem solver
- ~Experience working and effectively collaborating with finance, risk, operations and technology teams
- Excellent interpersonal relationship-building, influencing, and communication skills, both written and verbal
List of Typical Experience For a Regulatory Reporting Resume
1
Experience For Regulatory Reporting Specialist Resume
- Highly motivated, results-oriented, stakeholder -focused with strong people management skills
- Have excellent organizational, interpersonal and communication skills
- Strong PC skills including MS Excel, MS Word, MS Access and Outlook (Essential)
- Demonstrated relationship-building skills and an ability to lead and influence others
- Accuracy, attention to detail, ability to work independently, and organizational skills to meet strict deadlines
- Work effectively and lead meetings with 3rd party vendors, HR partners, and other functions
- Outstanding interpersonal and relationship building skills across all levels of the organization
- Regulatory reporting experience, particularly on all CRDIV reporting including COREP, FINREP, Asset Encumbrance and liquidity reporting
2
Experience For Regulatory Reporting Controller Resume
- Experience in financial reporting, accounting, regulatory reporting or equivalent
- Perform ad hoc analysis on financial and non-financial attributes of consolidating legal entities for internal and external reporting purposes
- Good understanding of Singapore regulatory and financial reporting standards, and knowledge of financial products and services
- Strong understanding of Regulatory Reporting
- Prepare regulatory disclosures, using data from the Group Consolidation and Reporting System (GCRS), at a UBS group level and at various aggregated levels
- Experience with developing and implementing large-scale projects
- Develop and maintain a strong understanding of CIB products, processes and systems (current & future state)
- Min. 3 years relevant experience in Audit/ Regulatory Reporting
- Experience in regulatory reporting, ideally for Finma, SNB or BIS
3
Experience For VP, Regulatory Reporting Resume
- Computer experience required with working knowledge of Microsoft Office programs
- Drive the EMEA Surveillance program within and across the region developing strong relationships with peers and counterparts
- Maintain the corporate policies, procedures, and methodologies for effective Regulatory Reporting Controls
- Apply regulatory abstraction guidelines utilizing clinical experience for accurate and timely data abstraction
- Preferably some experience of working on regulatory returns and exposure to the Basel 3/CRD VI regulatory framework and rules
4
Experience For Regulatory Reporting Officer Resume
- Strong analytical ability, being able to discuss results with a variety of stakeholders and senior management
- Demonstrated ability to plan, organize, manage and direct the work of others while identifying and efficiently deploying organizational resources
- FR Y-12 Report – “Consolidated Report of Equity Investments in Nonfinancial Companies”
- Coordinate with FLUs, EDA and data providers to verify the appropriate documentation sources and testing approach for prioritized elements
- Commitment to company values, brand, and the customer experience
- Relevant work experience
- Qualified accountant with relevant experience
- Good team player, quick learner, enthusiastic, with a positive can do attitude
5
Experience For Avp-regulatory Reporting Resume
- Strong understanding of Operations Risk and Control
- Have experience in banking and knowledge about securities
- Experience in a position of increasing responsibility within Finance or Audit
- Experience working with Java and relevant technologies
- Oversee the operational effectiveness of that firm’s systems and controls that are designed to achieve compliance with CASS
- Strong time management, communication and project management abilities
- Perform validation controls and engage with legal entity controllers to resolve data quality issues
- Experience in financial institutions / big 4 audit firms, with significant time in regulatory reporting
- Financial services experience
6
Experience For Associate Director, Regulatory Reporting Resume
- Strong knowledge of investment and mutual fund products, as well as the regulatory environment; IFIC, CSC, or related designation an asset
- Autonomous with demonstrated ability to work under pressure; can manage and deliver against tight timelines and manage several projects/people simultaneously
- System/project implementation experience
- Tertiary qualifications and /or significant experience relevant to financial management in a large organisation
- Assisting with Training forum: serving as backup facilitator, preparing materials, compiling minutes, coordinating needs assessments
- Improving processes by providing recommendations regarding financial reporting procedures and internal management information provision
- Participating in regulatory project implementations in providing user acceptance testing and supporting subsequent implementations
- Performing and ensuring reporting to external and internal parties by operations when needed, including audit requests
7
Experience For Associate, Regulatory Reporting Resume
- Preparing books and records including month-end closing, journal preparation, review of P/L, B/S, Off B/S, RWA, etc
- Performing static data mapping for reporting
- Understanding of capital reporting at Wholesale Banking would be an asset
- Maintaining the Scorecard, project plan and test strategy for the LOB Working groups
- Analysing Trading Book Securitisation positions to assess Market Risk across RBS
- Interacting with process owners (i.e. business units controllers, operations, trading desk)
- Monitoring of the regulatory reporting operations on daily basis and act as a manager for a virtual team of staff responsible for the daily operations
- Understanding of Wholesale Banking/Capital Markets businesses, products and associated balance sheet, P&L
- Preparing regulatory returns, statutory accounts, etc. in a timely and accurate manner
8
Experience For Team Leader, Regulatory Reporting Resume
- Ensuring compliance of regulatory capital requirements on a daily basis
- Performing analytical review of financial results
- Performing control activities such as Balance Sheet verification, ICAP & EUA signoffs
- Participating in Finance Change-the-Bank projects
- Preparing regulatory disclosures at a UBS group level and at various aggregated levels
- Performing analytical reviews of regulatory disclosures
- Performing reconciliations between regulatory disclosures and other internal or external disclosures
- Accounting qualifications ACA/CIMA/ACCA or equivalent
9
Experience For Director, Regulatory Reporting Resume
- Working with Global Compliance and Technology partners to manage and coordinate the EMEA Compliance Technology budget and associated projects
- Assisting with audit and examination requests
- Ensuring Internal Audit and Compliance reviews receive necessary resources and that remarks are closed within due time
- Providing guidance and training to Analysts in the team
- Leading preparation of respective filings as assigned
- Proofreading, to prevent typographical and design errors in the finished documents and to ensure that changes provided have been implemented correctly
- Monitoring of daily local regulatory limits and preparation of relevant daily reports
10
Experience For Regulatory Reporting QA Analyst Resume
- Assisting in the establishment of a framework for a routine quality review process,
- Aligning new training modules (e.g. Y-15, 101, 102, etc.)
- Forecasting of government reimbursement changes and impact on organization
- Understanding of Banking products including securitization in order to relate business moves with RWA impact
- Managing relationship with Senior Stakeholders in CAD and business FD’s and act as a point of contact for their queries
List of Typical Skills For a Regulatory Reporting Resume
1
Skills For Regulatory Reporting Specialist Resume
- Demonstrated ability to effectively work cross functionally with other departments including Operations, Product Development and Marketing and Quality
- Exceptional project management skills with a proven record in successfully completing projects
- Good English communication & writing skills (knowledge of Korean or Chinese languages are welcome)
- Strong capabilities in planning and organisational skills
- Demonstrates professional communication skills (both written and verbal)
- Good time management skills, with the ability to manage multiple tasks and deliverables
2
Skills For Regulatory Reporting Controller Resume
- Strong communication skills, with the ability to engage with internal and external stakeholders locally and globally
- Experience of Project Management/Project Coordination skills, specifically on large global or multi-divisional
- Good project management skills and product knowledge
- Good knowledge of MS-Excel skills, etc
- This is a critical position that requires subject matter expertise of loan, good coordination and analytical skills
- Excellent verbal/written communication and collaborative skills required
- Able to multi-task and good problem solving skills
3
Skills For VP, Regulatory Reporting Resume
- Strong numerical, analytical, and organizational skills
- Very good MS Office skills, VBA knowledge would be an asset
- Strong analytical skills combined with accuracy and attention to detail
- Highly organised and able to prioritise tasks effectively to meet strict deadlines
- Strong relationship management skills, from both an external and internal client perspective
- Comfortable with data manipulation, ideally with good excel skills
- Good interpersonal skills, as the role requires interaction with many different people in an intense environment
4
Skills For Regulatory Reporting Officer Resume
- Advanced experience/skills with Excel and complex spreadsheets (v look ups, pivot tables, macro’s)
- Extremely detail-oriented with excellent organizational and interpersonal skills
- Proven analytical skills and sound judgment in a dynamic business environment
- Effective written communication skills to articulate concise summaries of complex issues to leaders
- Strong analytical and problem solving skills, logical and meticulous
- Banking experience to include CIB product knowledge from an operations background – 2 to 5 years experience
5
Skills For Avp-regulatory Reporting Resume
- Prior regulatory reporting experience gained from working within Investment Banking/Financial Services industry required
- Relevant experience in substantial shareholder reporting and takeover panel reporting or banking operations experience with knowledge on financial products
- Good experience of managing technical teams and delivering multi-year complex programmes
- Good accounting knowledge with relevant experience related to reconciliations and data sourcing and analytics (Essential)
- Good experience in a financial institution with exposure to Regulatory Reporting
- Strong knowledge in regulation applicable to banking institutions in Mexico (at least five years of experience)
- Excellent analytical background and skill set to understand Regulatory Requirements, Financial Products, including system data flows
- Work effectively individually to meet deadlines
- Strong post-qualification experience in a similar role
6
Skills For Associate Director, Regulatory Reporting Resume
- Detailed knowledge and past experience of FSA regulatory rules in an investment firm (BIPRU and GENPRU, EBA CRR, ITS), and regulatory systems experience
- Communicate effectively in both internal and external forums
- Thorough knowledge and experience of CASS operational practices gained through experience in similar role within a major company in the same business sector
- Prior experience as an Approved Person in an FCA regulated business
- Ideally proficient and fluent language skills in both German and English
- Excellent verbal and written communication. Desirable experience in Big Data (SAS, IDN)
7
Skills For Associate, Regulatory Reporting Resume
- A very strong change mindset with evidence of delivering efficiencies in Regulatory processes
- Computer literacy skills with expertise on MS excel and knowledge in VBA is an advantage
- Strong control background with proven delivery of improvements
- Strong financial analytics experience along with attention to detail
- Excellent reviewing and analytical ability along with core accounting skill-set
- Demonstrate good understanding of required returns and relationship to US wholesale entities
- Strong sense of process and data governance and good attention to details
- Experience managing multiple priorities in a fast paced results driven environment
- RBC Finance and organizational knowledge or strong knowledge of and previous experience in Financial Services
8
Skills For Team Leader, Regulatory Reporting Resume
- RBC Finance and organizational knowledge or strong knowledge of (and) previous experience in Financial Services
- Solutioning, Data Management experience within regulatory reporting domain would be highly desirable
- Good understanding of investment banking products including derivatives / financing transactions
- Involvement in modelling and developing reporting solutions for a target model is possible, but not the principal priority of the role
- Experience of working in a bank, in an Accounting Policy or Financial Reporting capacity
- Good understanding on derivative products including concepts such EAD’s, Slotting, Credit Risk, NCA’s
- Previous employment with a Financial Institution or Consulting Firm in Regulatory Reporting with experience in regulatory reporting domain
9
Skills For Director, Regulatory Reporting Resume
- Manage pipeline of user initiated technology changes, responsibilities include managing prioritization list and co-ordaining changes, chairing review meetings
- Direct experience with key Financial Control Functions including Controllers, Valuation Review, Regulatory Reporting,
- Experience in financial accounting or regulatory reporting area
- Experience working in Regulatory Reporting and Reconciliation function
- Experience in usage of regulatory reporting and / or accounting software and its functional details,
- Experience working in Banking/Finance industry
- Previous employment with a Financial Institution or Consulting Firm in Regulatory Reporting with experience in Basel II, Basel III, COREP
10
Skills For Regulatory Reporting QA Analyst Resume
- Good understanding on derivative products including concepts such notionals and MTM, Counterparty Credit Risk, Securitization, Market Risk and Value at Risk
- Significant strong working knowledge of Sales and Trading practices in Equity and Fixed Income Markets and the UK Regulatory environment
- Good working knowledge of reporting tool Axiom– Preferable
- Strong understanding of the securities trading markets and regulatory requirements
- Sense of urgency in implementing processes and evaluating priorities; decisive, action-oriented and practical
List of Typical Responsibilities For a Regulatory Reporting Resume
1
Responsibilities For Regulatory Reporting Specialist Resume
- Ensure all Corporate and Bank Regulatory reports filed are timely and accurate, in agreement with other externally reported information, and reconciled to the Firm’s underlying financial statements
- Good overall IT savvy and strong Excel skills
- Proven skills in investigating complex data issues to extract key themes and discover root causes
- Have good communication skills (fluent in English both written and listening)
- Approximately 6-8 years relevant accounting experience; good understanding of US GAAP
- Financial industry/banking experience/auditing experience
- Good product systems knowledge. Experience using Oracle and Macros/ VBA is an advantage
2
Responsibilities For Regulatory Reporting Controller Resume
- Communicate effectively with Business, Compliance, IT and Client Onboarding team
- Strong experience in Basel II and Basel III, CRDIII/IV
- Experience in banking and financial accounting / regulatory reporting
- Experience of leading diverse teams, enabling a ‘one team’ culture and a positive working environment
- Experience running projects with various deadlines and multiple dependencies, requiring coordination across diverse groups
- BS/BA in Accounting and 2+ years relevant Regulatory Reporting or closely related industry experience
- Experience of producing MI for senior management, as well as demonstration of enhancing MI desired
- Strong regulatory & financial reporting knowledge prevalent in banking/financial institutions
3
Responsibilities For VP, Regulatory Reporting Resume
- Experience in audit analytics of finance and regulatory reporting function in banking and capital markets would be an advantage
- Program or project management experience working in the financial services industry, preferably banking
- Solid understanding of Sydney branch products and accounting treatment
- Experience in leading major initiatives across the International Division
- Experienced in running Regulatory or Data management teams
- 2 – 3 years’ experience of regulatory reporting environment
- Previous Risk Reporting or Risk Management related work experience
- Significant experience in managing regulatory compliance and / or financial control operations for a large organization
4
Responsibilities For Regulatory Reporting Officer Resume
- Strong accounting or internal control (SOX) knowledge
- Financial reporting or audit experience
- Preference of Relevant experience in foreign banks or accounting firms
- Experience of regulatory reporting environment
- Experience with Finance Regulatory Reporting and Basel related Data Concepts
- Good accounting knowledge – especially on IFRS,
5
Responsibilities For Avp-regulatory Reporting Resume
- Strong accounting/financial background certified by ACCA, CIMA or other relevant
- Proven team leader, willing to assist others as needed to ensure that group deadlines are met and quality standards are achieved
- Knowledge in regulation applicable to banking institutions in Mexico (at least three years of experience)
- Database programming experience (Sybase)
- Three (3+) years’ experience in a regulatory reporting or regulatory compliance related role
- Regulatory reporting experience in banks and financial services firms
- Experience working on complex products like derivatives particularly on capital requirements
- Experience in Banking products – Desirable
- Build and maintain effective networks and working relationships
6
Responsibilities For Associate Director, Regulatory Reporting Resume
- Managerial experience ideally managing cross-location teams required
- Experience as a Regulatory or Quality professional in a regulated manufacturing environment, preferably Medical Devices
- Practical experience in VBA programming
- Brokerage industry experience, preferably in trading or middle/back-office operations
- ~Experience with CCAR reporting and/or credit risk analytics
- Relevant work experience in the financial services industry desirable (regulatory reporting, financial and product control, liquidity, treasury)
- Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
- Experience in Perl and Shell scripting
- Attention to detail, including a demonstrated ability to meet accuracy standards in a high-volume environment
7
Responsibilities For Associate, Regulatory Reporting Resume
- Proven ability to articulate how functions and processes work so training and presentations are clear and informative
- NAV and Fund Accounting experience
- Three to five years of Brokerage experience
- Demonstrated ability to interpret and analyze regulatory changes and assess the impacts to the business
- Foster and maintain strong relationships with multiple areas and levels of the organization
- Ensure that any apportionment of responsibilities is effective and appropriate
- Zero - two years of relevant work experience
- Regulatory Reporting preparation and leadership experience, with specific knowledge of FR Y14, FR Y9C and/or Capital reporting a +
- Strong ability to identify process improvement opportunities and to deliver those improvements
8
Responsibilities For Team Leader, Regulatory Reporting Resume
- Experience in a similar role in Financial Services/Insurance Industry
- Management experience in a similar capacity
- Experience with regulatory correspondence in an MFDA or IIROC environment
- IIROC experience an asset
- Ensure controls specified in the control framework are performed and evidenced
- Relevant experience in bank accounting or auditing of financial institutions, with exposure to regulatory returns
- Develop and maintain strong working relationships with a variety of departments across the organization
- Regulatory reporting experience
9
Responsibilities For Director, Regulatory Reporting Resume
- Very strong stakeholder management and relationship building competence
- Demonstrate the ability to work independently and willingness to take on responsibilities
- Good to have knowledge on statutory disclosures in Financial Reports and their linkages with regulatory returns
- Experience of MS Access and MS Excel
- SAS and Product control experience is desirable
- Knowledge on Excel and excellent knowledge of MS Access
- Extensive industry experience with a background in Compliance, or Financial Services Regulation
- Experience in the technical domain, data analysis and presentations tools (Excel, PowerPoint)
- Experienced in blue sheets/audit / operational risk and control / operations in the financial services industry
10
Responsibilities For Regulatory Reporting QA Analyst Resume
- Demonstrable project management, documentation, process design experience required
- 3/5 years experience in finance industry in a similar role
- Relevant experience, ideally in the financial services industry
- Pro-active attitude and ability to learn from experience
- Experience in a financial services, technology or regulatory related role is desired but not essential
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