VP Regulatory Reporting

Full Time

Global Investment Banking Client

Office Status: Hybrid

Overview:

Global investment bank with a growing presence in the US just launched a brand-new project management and internal controls team to support the regulatory reporting function. This is a hands on position with a start up feel to it as this function did not exist up until a few years ago. The ED is looking to bring on an additional VP to lead a team and lay the foundation of the transaction testing and reporting process for the future. This person will have consistent exposure to senior stakeholders both internally and externally and have a say in the decision making process.

Responsibilities:

  • Conduct the initial risk ranking of regulatory reports for testing purposes;
  • Perform transaction testing and conformance reviews of in-scope regulatory reports;
  • Responsible for preparing and updating RRQA assessment plans with your staffs in coordination with Group Head of P&C Department and Co-Head of RRQA (FBO/BHC) Department;
  • Responsible for performing issue risk ranking individually and in aggregation for Quality Assurance Program;
  • Responsible for performing quality review of staffs and consultant’s work products/deliverables under its supervision/direction;
  • Assist in implementing issue management process (includes Follow-Up, Validation, Reporting, and Extension Processing) with Group Head of P&C, Co-Head of RRQA (FBO/BHC) Department and P&C Issue Management Team Lead to provide periodic updates to various cross functional program governance teams for overall reporting, tracking and monitoring of observations/findings;
  • Responsible for managing and reporting the remediation status of RRQA findings/observations identified by your team with Group Head of P&C, Co-Head of RRQA (FBO/BHC) Department and P&C Issue Management Team Lead;
  • Assist Co-Head of RRQA (FBO/BHC) Department with the preparation of the RRQA Report for U.S. CFO and of FAD Controllers;
  • Assist Co-Head of RRQA (FBO/BHC) Department with the preparation of the quarterly management update reports for U.S. CFO and of FAD Controllers;
  • Assist Co-Head of RRQA (FBO/BHC) Department to perform special reviews related to internal control matters
  • Develop and maintain strong working relationships with key business/governance/data governance and IT stakeholders in order to identify additional areas of risk and procuring their help in solving complex issues;
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