Regulatory Reporting Manager Resume Sample
Mathew Koss
6275 Joany Vista,
Detroit,
MI
+1 (555) 252 5157
Work Experience
Regulatory Reporting Manager
10/2015
-
PRESENT
Los Angeles, CA
- Manage resourcing in the team to ensure daily filing responsibilities are carried out accurately and in a timely manner including but not exclusively
- Previous experience in identifying and submitting large shareholder notifications would be a distinct advantage
- Detailed knowledge and experience of working in the financial services sector within an Operations area
- Proven experience in general management and leadership
- A good understanding of financial instruments
- Prepares Audited Financial Statements, CPO PQR filings, 10Q/10K filings and other regulatory reporting by internal and regulatory deadlines
- Reviews the previous period’s final reporting/filings and rolls forward the final figures
Financial & Regulatory Reporting Manager
09/2013
-
09/2015
Dallas, TX
- Adjusts current period’s Trial Balance for any appropriate top side entries
- Prepares data from the portfolio and partnership accounting systems needed for the support and preparation of the reporting/filings
- Prepares and reviews footnotes
- Reviews the reporting/filings prepared by fund administrators
- Works directly with the auditor to make any necessary adjustments to finalize the reporting/filings
- Maintains supporting documentation and work papers
- Creates, maintains, and generates ad hoc reporting as necessary
- Participate in preparing, compiling, proofing and quality controlling the bank’s SEC filings, including 10-Qs, 10-Ks, and earnings releases, in an accurate and timely manner in compliance with U.S. GAAP, SEC and other regulations
Regulatory Reporting Manager, VP
11/2010
-
05/2013
Chicago, IL
- Compile the bank’s regulatory Call Reports and ensure consistency with other financial statements
- Project manage the quarterly and annual reporting process, including preparing, monitoring for completion, and updating the quarterly ‘Request from Information’ from internal bank departments and ‘Prepared by Client’ listings requested by external auditors
- Assist in the maintenance of XBRL detailed tags for the bank’s footnotes and financial statements. Assist in rolling forward the SEC filings and migrating between taxonomies and determining tags for new disclosures
- Participate in bank’s business resumption planning, prepare test scripts and provide support in disaster recovery testing
- Manage the regulatory reporting function of the bank and ensure the production of all reports meet the needs of the UK regulators (PRA and BoE) in a timely and accurate manner, ensure a high level of adherence to the agreed controls, processes and procedures
- As the production of the returns has been outsourced to a centralised finance function, a key responsibility is managing the relationship between the team and our suppliers, managing issues as they arise and ensuring timely and accurate receipt of returns for review and submission to our regulators
- Accountable for monitoring and managing the capital position of the bank on an ongoing and real time basis; provide regular capital reports and forecasts to senior management
- Proactively looking at emerging trends / changes in legislation and assessing the impact of these on capital and reporting requirements
- Supporting the intention for the bank to move from Standardised to an IRB approach for calculating risk-weighted assets and capital requirements
Education
Strayer University - Prince George's Campus
2005 - 2010
Bachelor's Degree in Accounting
Professional Skills
- Strong analytical, organizational and problem-solving skills; including research skills regarding current
- Strong demonstrated analytical and critical thinking skills, as well as being detail oriented and highly organized
- Proven track record as compliance professional and strong analytical, technology and interpersonal skills are required
- Excellent time management skills and experience of leading a team
- Demonstrate strong time management, organisational and coaching skills
- Excellent time management and strong understanding of managing priority items in a day to day business environment
- Excellent analytical skills, and a responsive and adaptable nature to changing requirements of customers, sponsors and stakeholders
How to write Regulatory Reporting Manager Resume
Regulatory Reporting Manager role is responsible for english, analytical, interpersonal, research, design, leadership, reporting, retail, finance, credit.
To write great resume for regulatory reporting manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Reporting Manager Resume
The section contact information is important in your regulatory reporting manager 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 Manager Resume
The section work experience is an essential part of your regulatory reporting manager 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 manager 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 manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Reporting Manager resume experience can include:
- Manage & motivate a team of professional individuals within the regulatory reporting team, driving business performance through the creation of a high performance culture
- Excellent analytical skills and understanding of effective control design
- Strong presentation and written communication skills; experience using fact-based analysis to ‘tell the story’ to an executive audience
- Prior experience of managing multiple Form PF reporting entities essential
- Lead team effectively to meet tight filing deadlines
- Leadership skills to lead cross functional teams
Education on a Regulatory Reporting Manager Resume
Make sure to make education a priority on your regulatory reporting manager 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 manager 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 Manager Resume
When listing skills on your regulatory reporting manager 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 manager skills:
- Strong communication skills with the ability to be assertive in terms of regulations and procedures
- Proven project management skills and a delivery focus
- Strong analytical skills, a “doer’s” mentality, and an inquisitive mindset
- Strong time management skills to allow for adherence to deadlines
- Great team player with solid interpersonal skills
- Strong learning agility skills to lead through change and ambiguous situations
List of Typical Experience For a Regulatory Reporting Manager Resume
1
Experience For Financial & Regulatory Reporting Manager Resume
- Demonstrated ability to lead teams and develop strong working relationships
- Proven experience in Securities & Banking Operations, or in a Control or Regulatory/Compliance function
- Managerial experience, including managing a financial reporting team
- Key stakeholder for new validation automation tool, overseeing team’s stakeholder role input
- Technical expertise - specific experience of CRD IV requirements (CRR) including COREP
- Demonstrate ability to keep up-to-date with emerging business, economic, and market trends
2
Experience For Liquidity Regulatory Reporting Manager, VP Resume
- Experience in managing both a team and processes
- Qualified Accountant with 5 years post qualification experience ideally in a financial services regulated environment
- Understanding of applicable SEC filing requirements for Forms 13F, 13G, & 13H
- Coordinating the completion and review of regulatory reports
- Contributing to papers for senior management and HR forums such as the Remuneration Committee
- Drive forward the firm’s Broker-Dealer regulatory reporting process improvement and remediation efforts pertaining to SEA Rules 15c3-1 and 15c3-3
- Comfortable working collaboratively across multiple cross-discipline teams on problem resolution as well as identifying best practices and process efficiencies
- Actively seek out opportunities to deliver efficiencies in the production and review of our reporting requirements
- Ownership of the FDIC and Federal Reserve regulatory reporting process to include
3
Experience For Regulatory Reporting Manager, VP Resume
- Staying abreast on the latest regulatory pronouncements impacting regulatory reporting, anticipating the impact of reporting changes, and communicating with management as necessary
- Integrating any acquired companies into the reporting process
- Drafting of accounting policies and procedures
- Assistance with special projects as needed—including, but not limited to
- Complete periodic reporting submissions to the Central Bank of Brazil
- Act as direct point of contact with the Central Bank of Brazil for regulatory reporting
- Interact with Senior and Executive Management, making presentations, and recommendations
- Support the team on the provision of the KID’s / PRIIP’s Reporting Data Provision and Managed Services return to Northern Trust Clients
4
Experience For SEC & Regulatory Reporting Manager Resume
- Ensure reporting input requirements are clearly understood and communicated for agreement
- Proficiency with Microsoft Office sufficient to perform moderately complex financial and regulatory reporting work
- In-depth knowledge of regulatory reporting requirements
- Build productive working relationships across Business Units, Operations departments, Internal Audit, and Compliance
- Have an understanding of front to back technology and business flows
- Process review and improvement implementation
- Increase product and business knowledge through exposure to multiple business areas within Citigroup Global Markets Limited, Citi International PLC, and Citibank North America London Branch legal entities
- Communication - both written and verbal
- Monitor and forecast relevant regulatory metrics
5
Experience For Capital Plan Regulatory Reporting Manager Resume
- Monitor the development of regulations relevant to PayPal in Brazil. Ensure advance awareness and preparatory tasks are undertaken early to implement foreseen changes
- Liaise with key stakeholders including Data Technology, Controlling and Treasury teams and gain an understanding of balances to obtain accurate and timely data to complete reporting, monitoring and forecasting
- Provide quality assurance over data inputs and resulting outputs
- Perform reconciliations of output against management accounts ensuring any breaks are cleared in advance or are explained as appropriate
- Implement regulatory reporting production and delivery systems
- Strive to create efficiencies in processes, in particular focusing on risk reduction through automation
- Draft detailed risk based procedures and checklists focusing heavily on internal controls throughout
6
Experience For Broker Dealer Regulatory Reporting Manager Resume
- Liaise with internal and external auditors ensuring all requests and any issues are addressed timely and accurately
- Opportunity to manage a team in a rapidly changing environment
- In depth knowledge of Dodd Frank implications on regulatory reporting essential
- Prepare and present periodic updates for executive management
- Challenge, resolve, and communicate any issues to internal stakeholders
- Assist the global COE team in any related initiatives outside of Brazil
- To develop relationships with colleagues in other functional areas
7
Experience For Senior Regulatory Reporting Manager Resume
- Knowledge and exposure to Wholesale Banking (Loans, Leases, LCs, Unused Commitments) and Trading Book (Over the counter Derivates, SFTs) products, as well as related Basel III reporting requirements is desired
- Produce daily credit risk exposure reports for distribution to Management in order to maintain compliance with PRA regulations
- Calculate daily market risk regulatory capital figures under standardised rules
- Report on large exposure and concentration risk
- Preparation of Bank of England reports such as BT, PL, BG, C1 and others
- Understand key drivers of regulatory capital and ensure adherence to PRA regulations
8
Experience For Tax / Regulatory Reporting Manager Resume
- Develop and conduct a training program to educate the business units and the Regulatory Reporting staff on issues that require complex regulatory reporting training and on changes in regulatory rules and requirements, specifically the BASEL capital rules
- Qualified/part qualified accountant or other relevant qualification
- Assist with providing subject matter knowledge and & supporting analysis successfully report new financial products to the Bank’s risk weighted assets, including: RWA system analysis, interpretation and application of Basel Final rules, and education of LOB partners
- Function as business lead on technology projects that target improvements or changes needed for quarterly reporting processes to promote efficiency and manage business or regulatory requirement changes. Also Assist with non-technology projects geared towards integrating acquired assets with the bank’s quarterly Basel RWA & Capital reporting
- Self-starter who is confident enough to work autonomously
- Face off with regulators and present internally
- Assign and monitor the workload of the team, hire/coach/and develop the team’s staff on the preparation and review of regulatory reports and supporting work-papers in accordance with regulatory requirements and instructions, and coordinate and review the data
- Excellent communication skills (both written and verbal) as well as strong interpersonal skills to facilitate building relationships across multiple functional areas, legal entities as well as with the Bank’s regulators
9
Experience For Client / Regulatory Reporting Manager Resume
- Validate tax forms for completeness and accuracy and work with third-party suppliers for corrections
- Ensures and maintains good relationship with the various regulators.
- Strong knowledge of internal control (i.e. COSO internal control framework)
- Finance, Credit Risk, Risk Management or Operations experience
- Liaise with the Regulatory Controller’s production team to integrate new processes, process changes, and control enhancements
- Assists with the completion of the transformation from ‘change’ to ‘business as usual’
- Develop and maintain expertise in Basel III regulatory requirements
10
Experience For Ccar Regulatory Reporting Manager Resume
- Prepare, review and file regulatory/financial reports; specifically Basel III public disclosures
- Collaborate with IS team to resolve issues with SAP reports and implement enhancement to drive process efficiencies
- Execute tax levy notices
- Assist in associated accounts reconciliation
- Prepare and present business review packages, including governance processes that ensure the accuracy, completeness and as well as variance analyses that explain fluctuations in terms of business events
- Serve as a key point of contact for strategic initiatives involving FR Y-14Q/M
- Direct oversight of the Regulatory Reporting team to ensure the accurate and timely preparation and filing of all assigned financial regulatory reports for the US and Cayman branches in compliance with all legal and regulatory requirements, company policies and procedures, and generally accepted accounting principles
- Provide training and guidance for staff on the company’s regulatory reporting policies and procedures, and documentation standards
List of Typical Skills For a Regulatory Reporting Manager Resume
1
Skills For Financial & Regulatory Reporting Manager Resume
- Excellent communication skills (verbal and written) and ability to communicate at all levels
- Excellent time management as well as organisational skills
- Experience in accounting/finance with a regulatory focus Strong Financial Services training ideal
- Facilitation and consulting skills, with the ability to contribute thought leadership
- Proficient skills in Microsoft Office applications, particularly Word and Excel
- Self-confidence; ability to function as both a self-starter and a team player, and to deal effectively with multiple levels of the organization
- Finance, Credit Risk, Risk Management or Operations experience required with at 3+ years of supervisory experience
2
Skills For Liquidity Regulatory Reporting Manager, VP Resume
- Advanced analytical, planning, and organizational skills required to direct and lead staff
- Assists in determining staffing needs, making hiring decisions and ensuring resources are available to accomplish priorities
- Experience that includes financial statement auditing, regulatory reporting and/or SEC reporting
- Banking experience in two out of three of the following categories: a) Big 4 Public
- Proven track record of supervising/managing a team
- A clear focus on delivering to high standards, with strong attention to detail
- Develop strong client relationships and an in-depth understanding of the client's service needs
- +5/8 years of experience in Management & Accounting or Finance
3
Skills For Regulatory Reporting Manager, VP Resume
- Financial services sector and/or Big 4 Public Accounting experience
- Experience of a fast moving, highly controlled, multi-national/ functional organization
- Experience in Broker Dealer Regulatory Reporting
- Financial Services experience with a background in: Credit Risk, Basel, Regulatory Reporting required
- Be able to demonstrate an understanding of Irish\ UK GAAP, US GAAP and IFRS, SEC/ESMA regulations (Form PF/AIFMD) and FATCA
- 4 – 6 years of experience in a change environment ideally in the financial / regulatory field
- Excellent command in PowerPoint and other common office tools
4
Skills For SEC & Regulatory Reporting Manager Resume
- The ability to build and maintain strong relationships at all levels, and communicate with all levels of seniority on complex issues
- Review, prepare and validate all materials provided to examiners and auditors
- Relevant experience in regulatory affairs
- Accounting b) Regulatory Reporting c) Bank Accounting
- Understanding of banking regulations, accounting knowledge (FASB standards related to Financial Institutions, GAAP, etc.)
- Supporting monthly franchise RWA reporting
- Understanding/knowledge of the Basel III Capital Rules
5
Skills For Capital Plan Regulatory Reporting Manager Resume
- Ensuring external disclosure requirements for capital, RWAs and leverage
- Working in conjunction with direct manager to supervise team’s work and performance
- Develop a greater understanding of regulatory reporting requirements; in particular FCA Transaction Reporting and LSE Trade Reporting
- Assist in resolving issues with vendor master data quality impacting withholding and reporting set-up
- Familiarity with preparing or analyzing Bank Regulatory or SEC reporting (e.g. Call Report, 10Q, etc)
- Particular focusing on technical oversight of COREP capital and liquidity reporting of the new DVB-X clearing vehicle
- Liaise with reporting subject matter experts within regulatory reporting to drive centralized processes for reporting
- Oversee regulatory reporting process for loans and securities for submission to global regulatory supervisors detailing all relevant exposures for the firm
6
Skills For Broker Dealer Regulatory Reporting Manager Resume
- Some weekend and evening work required especially around filing deadlines
- A clear understanding of our retail banking team’s needs
- Partner with Finance, Regulatory Reporting and Risk teams to ensure all data dependencies are satisfied to support ongoing Fed requirements
- Input to forecasting and capital planning
- Support for Business lines assessing impact of new product or product changes, group legal entity restructuring and other projects
- Review, evaluate and recommend financial operating strategies and policies. Develop operating plan, strategic plans, and financial forecasts
- Assist in the day-to-day inquiries related to withholding and reporting
- Sets clear expectations, reviews/assesses progress, provides feedback/coaching, and holds staff accountable for meeting objectives
- Support the team with the testing of KID’s / PRIIP’s reporting developments
7
Skills For Senior Regulatory Reporting Manager Resume
- Work with the KID’s / PRIIP’s Reporting supporting vendor to continue to develop and improve the managed services return
- Oversight of the ORC Reporting processes, and Supervision of direct/matrix team members working within Belfast
- Manage regulatory reporting staff to ensure adherence to regulatory reporting requirements and timelines
- Interest in managing multiple internal stakeholders in a sensitive environment within a global oriented PMO function
- Attention to detail and working as part of a team is vital
- In-depth understating of internal control concepts
- Familiarity with new accounting prounouncements
8
Skills For Tax / Regulatory Reporting Manager Resume
- Compile and update procedure documents. Documentation of process controls (including process enhancements)
- Participate in the analysis and implementation of new or revised reporting requirements
- The deadline for applying on line is 5:00PM on June 20, 2018
- The hiring range for position $95,500-$119,400 annually
- Provide training and development support for team members, as appropriate
- Organized and structured working methodology, attention to detail and highly motivated
- Corporate Regulatory Reporting group
- And prospective updates to regulatory reporting
- Knowledge of banking financial statements
9
Skills For Client / Regulatory Reporting Manager Resume
- Broad knowledge of Federal Reserve System`s policies and regulations related to financial/regulatory reporting
- Detailed knowledge of liquidity reporting requirements
- Creates operating plans and financial forecasts for business channel. Provide financial oversight for various areas within business unit channel
- Assist with the production of quarterly capital reporting returns to the PRA
- Assist with the production of monthly and quarterly capital reporting returns
10
Skills For Ccar Regulatory Reporting Manager Resume
- Periodic review and assessment of withholding from payments made to third-party suppliers to ensure compliance with various regulatory requirements
- Execute the Unclaimed Property process. Perform due diligence reports and timely filing of reports to various states
- Collaborate with cross-functional teams for projects, and perform annual updates to Regulatory Tax Reporting policies
- Assist with the assessment of new Regulatory guidance, prepare position papers on the impact to the company and amend the reporting process accordingly
- Update and maintain accounting procedures
- Prepare the quarterly stress testing exercise
- Reports directly to the Head of Regulatory Reporting, Ireland
List of Typical Responsibilities For a Regulatory Reporting Manager Resume
1
Responsibilities For Financial & Regulatory Reporting Manager Resume
- Responsible for ensuring staff follow both the regulatory reporting instructions and our documented policy and procedures and maintain desktop procedures and supporting documentation for filings on a current basis and in a clear and comprehensive manner
- Ensure change is managed with appropriate controls, clear documentation and necessary approvals including, but not limited to, implementation of new and revised regulatory reporting requirements and reporting of new products/transactions
- Participates in client meetings. Consults on effective ways to meet client needs or appropriate method to be used for resolution of an issue
- Working across HR to make sure changes resulting from regulatory developments are understood, and that we approach them consistently and in alignment
- Supporting responses to regulatory consultations, external disclosures, and annual incentive scheme reporting
- Review and preparation of various banking regulatory reports, including the quarterly Call and FRY9C, FRYLP, FRY10, FFIEC 009, FRY6, TICs etc
- Prepares monthly regulatory reporting governance status reports for the Controllers department and the various bank committee
2
Responsibilities For Liquidity Regulatory Reporting Manager, VP Resume
- Provides recommendations, interpretations and consultative services to key stakeholders on financial and regulatory reporting issues
- Ensures consistency of design, implementation and reporting of controls (SOX and 17a-5). Identifies control failures and opportunities for process improvement
- Conducts the performance management process, identifies training and development needs, and establishes performance standards for the team
- Provides leadership and guidance to the team, fostering an environment which encourages employee participation, teamwork, and communication
- Research and resolve issues; provide recommendations; escalate to senior management, as needed
- Work collaboratively with Regulatory Reporting Policy, Business Unit Controllers, Technology Team, Corporate Accounting and other subject matter experts in the company on reporting matters including, but not limited to, automation and other process opportunities to improve the quality and efficiency of our reporting in line with best practices
- Provide support for the development of detailed comprehensive requirements (data and functional) for regulatory reporting as a key team-member in our automation initiatives
3
Responsibilities For Regulatory Reporting Manager, VP Resume
- Lead continuous enhancement of our internal controls over regulatory reporting including robust analytical procedures and detective controls for the team of Regulatory Reporting analysts, thereby adding further value to our role as the last line of defense who can identify issues in the data prior to filing reports with the regulators
- Thorough, comprehensive and current understanding of banking regulatory reporting rules and regulations, banking products & financial statements
- Communicate with regulatory agencies on examinations, rule interpretation and other questions
- Proficient in Microsoft suite of products (Word, Excel, and PowerPoint)
- Reporting - Oversee the production of high quality regulatory returns, analytics and MI in a timely fashion, ensuring that the EMEA region meets reporting deadlines and quality expectations
- Oversight & Controls - develop a strong operational control environment with well evidenced reviews, checklists and procedures
- Stakeholder management – work with other business areas particularly Risk, Compliance, Legal, Business Finance and business management in the production of regulatory returns and advisory work
4
Responsibilities For SEC & Regulatory Reporting Manager Resume
- Leadership - has management responsibility ensuring that day to day work is completed accurately and timely. Acts as a role model within the EMEA Finance Professional Service Centre function and supports strategic objectives
- Other – assist with the provision of regulatory support for relevant projects e.g. new regulatory reporting production requirements, legal entity restructuring, new business start-ups and product launches
- Coordinates, supports and monitors ongoing and upcoming inter-departmental/inter-subsidiary regulatory reporting project initiatives and remediations (i.e. BHC reporting project, FR 2052a remediation project, Call Report augmentation project, etc…)
- Tracks emergent regulatory reporting requirements and upcoming changes on existing regulatory reports
- Tracks and monitors all regulatory reporting issues that have been raised to senior management
- Coordinates all regulatory examinations and internal audits
5
Responsibilities For Capital Plan Regulatory Reporting Manager Resume
- Liaises with external industry groups (i.e. IIB, TCH and ABA) on special joint discussions and responses to the regulators' new reporting proposals or changes on the reporting requirements of existing reports
- Knowledge and exposure to Wholesale Banking (Loans, Leases, LCs, Unused Commitments) and Counterparty Credit Risk (Over the counter Derivates, SFTs) products, as well as, related Basel III reporting requirements is required
- Manage staff in a matrixed structure to ensure adherence to regulatory reporting requirements and timelines
- Coordinate with other members of the accounting department and other departments to obtain and review schedules for the preparing of both internal reporting package and external filings
- Management, Board, and SEC reporting
- Work with departments such as Credit, Loan Operations, IT and Legal to continuously improve the process flow and ensure data completeness and accuracy
- Analyze newly released regulatory guidance and assess the reporting impact to the bank as well as create an approach for enabling the bank to effectively meet the new reporting and disclosure requirements
6
Responsibilities For Broker Dealer Regulatory Reporting Manager Resume
- Ensure proper documentation of work-papers, which provide details of procedural flow charts, and provide recommendations on processes' improvements, and recommended corrective action
- Liaise with regulatory examiners and internal audit to ensure that all of their requirements with respect to their examinations, including the compilation of information with respect to the Entry Day, and/or First
- Day, Letter, are met with little or no exceptions
- Provide direct support for various special projects
- Participate in the preparation of month-end, quarter-end, and year-end financial statements
- Review general ledger accounts and prepare and adjust journal entries
7
Responsibilities For Senior Regulatory Reporting Manager Resume
- Maintain appropriate internal controls and financial safeguards
- People Leadership: Provides oversight, direction, and leadership to eight direct reports responsible for a both ongoing operational deadlines and longer term analytical projects
- Effectively resolves regulatory report escalations from Financial Institutions, Supervisory staff, and Board of Governors data users
- Effectively communicates and explains justification for guidance or decisions to internal and external stakeholders (Executives at Financial Institutions, Board of Governors staff, and Federal Reserve Colleagues)
- Identifies opportunities for increased efficiency/effectiveness in the work of the team, and implements
- Interacts with officers and managers to provide expertise to address and resolve complex financial and regulatory reporting issues
- Acting as the point of contact for queries from our franchises and functions, responding or escalating to provide technical guidance across all the countries and jurisdictions where we operate
- Helping to deliver remuneration related messaging, both generated internally and from the regulators; coordinating the management and maintenance of all message houses in relation to matters across the team
8
Responsibilities For Tax / Regulatory Reporting Manager Resume
- Assess, identify, evaluate and manage the key controls within the current control environment
- Enchance current policies and narratives
- Support the department in the review and sign off of IT developments
- Assist with the take on / launch of new clients on the managed services solution
- Ensure the centre of excellence is maintained in the nearshore production of reports
- Working in partnership with ORC Reporting Senior Management to produce timely and accurate MIS reports to a global audience, enhancing format and frequency where required. Identification of areas for improving existing processes and controls
- Investigation of issues arising from the ORC Reporting processes, QA reviews and Compliance/FCA and or Business Line queries, and escalation to management where appropriate
- Extensive liaison with internal customers, notably Business Units, Information Technology, Other ORC areas and Compliance Management, whilst fostering partnerships with key contacts with open and honest feedback
9
Responsibilities For Client / Regulatory Reporting Manager Resume
- First level review of MCA and other similar risk management programmes identifying and articulating process deficiencies, and co-ordinate UAT for ORC Reporting related tasks
- Work with Change Management team in implementing business change, driving the requirements for Trade and Transaction Reporting, confirming that Business Requirement documents and Test plans are provided ahead of User Acceptance testing to confirm that Reporting accuracy and completeness are maintained
- Work with Business Units and Compliance in responding to internal and external business requests, and regulatory enquiries. Identify, prioritise and resolve issues raised relating to Reporting issues, where required liaising with Compliance having determined materiality of issue
- Develop a greater understanding of Regulatory requirements; and in particular Transaction Reporting / Trade Reporting regulations
- Increase product and business knowledge through exposure to all areas of Capital Markets & Banking
- Monitor Market Regulatory forums and National Competent Authority notifications to ensure Citi are kept well informed and aware of all industry developments
- Represent ORC at internal and external regulatory meetings and disseminate information to the ORC teams and relevant stakeholders
- Opportunity to work collaboratively and to build effective working relationship with numerous Business Units, Operations departments, Internal Audit, and Compliance surveillance
10
Responsibilities For Ccar Regulatory Reporting Manager Resume
- Opportunity for development in understanding of multiple Regulatory obligations and Reporting requirements to a host of EMEA linked National Competent Authorities
- Responsible for running and maintaining the UK Group IFRS consolidation on SAP and BPC (with support from the London External Reporting Team)
- Responsible for calculation of the UK Group’s regulatory capital resources position including advising on the level of dividends which can be paid from the regulatory group
- Investment management experience; and
- Responsible for calculation of the UK Group’s regulatory capital requirement on monthly basis including
- Work with departments such as Data Management and Integration, Loan Operations, Treasury and Legal to continuously improve the process flow and ensure data completeness and accuracy
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