Analyst, Regulatory Reporting Resume Sample
Eloisa Kutch
877 Witting Street,
Houston,
TX
+1 (555) 360 8095
Work Experience
Senior Analyst, Regulatory Reporting
11/2016
-
PRESENT
Houston, TX
- Read and interpret regulatory’s instructions and requirements
- Assist in conducting in-depth data dependent analyses of customer, facility, and loan-related data elements required for reporting
- Analyze securities, counterparties, and derivatives data advising management of trends and any significant changes in the quantity and quality of the data elements being reported
- Participate in initiatives designed to improve existing processes or create new processes
- Perform prescribed data extraction and reporting activities as directed
- In depth understanding of the derivatives business and related products
- Experience with all phases of multifaceted programs including planning, deliverables, communications and quality assessment measurement
Analyst, Regulatory Reporting
07/2010
-
06/2016
San Francisco, CA
- Demonstrated ability to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities
- Excellent verbal, written and relationship skills used to interact with a global group of technical and non-technical people
- Gather information from a diverse range of stakeholders and from subject matter experts on specific data topics / issues and business outcomes.
- Supporting and controlling the daily business
- Life cycle management of existing inventory, including: exception management, reconciliations, controls/process management and issue investigation and resolution
- Understanding, following and, where necessary, contributing to MI in relation to your business in terms of its controls as well as adhering to and operating within predefined limits or caps
- Assist in preparation of SEC Rule 15c3-3 customer reserve computation
Project Analyst, Regulatory Reporting, AVP
07/2003
-
03/2010
Phoenix, AZ
- Assist in preparation and submission of monthly 15c3-1 net capital and FOCUS Reports for TDA and TDAC broker-dealers
- Assist in preparation of TDAC Proprietary Accounts of Broker-Dealers (PAB) computation
- Participate in monthly balance sheet review meeting conducted by accounting. Understand general ledger account balance(s) impact to the FOCUS Report(s)
- Compile, compute and analyze capital impact of proprietary inventory positions
- Assist in preparation of the monthly Regulatory Financial Reporting Committee report
- Participate in discussion with monthly Regulatory Financial Reporting Committee meeting
- Prepare the monthly minutes from the Regulatory Financial Reporting Committee meeting
Education
Everest University - Lakeland Campus
1998 - 2002
Mba's Degree in Accounting
Professional Skills
- Strong quantitative and analytic skills are required
- Excellent communications skills and ability to work with different levels of management
- Good time management, organizational and planning skills
- Good hands on years experience in risk/finance/product control or numerate operations team and/or business analysis experience
- Motivated, self-starter. Enjoy challenging work and have a strong desire to learn and progress
- Extensive experience in statutory or regulatory reporting
- Prepare daily & weekly management reporting to include researching and reporting variances
How to write Analyst, Regulatory Reporting Resume
Analyst, Regulatory Reporting role is responsible for retail, finance, credit, securities, training, security, planning, reporting, design, research.
To write great resume for analyst, regulatory reporting job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Analyst, Regulatory Reporting Resume
The section contact information is important in your analyst, 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 Analyst, Regulatory Reporting Resume
The section work experience is an essential part of your analyst, 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 analyst, 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 analyst, regulatory reporting position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Analyst, Regulatory Reporting resume experience can include:
- Prepare backup for the quarterly ICAP Key Controls testing
- Prepare quarterly TD Ameritrade Trust Company reporting
- Assist in producing Standardized Market Risk, General Credit Risk and Counterparty Credit Risk Regulatory Capital results based on US Basel III Framework
- Assist in producing Supplemental Leverage Ratio and Tier 1 Capital Leverage Ratio for the US IHC
- Perform variance analysis for the monthly FOCUS Report and determine cause of the variance(s)
- Perform variance analysis for the monthly 1-FR-FCM report and determine the cause of the variance(s)
Education on an Analyst, Regulatory Reporting Resume
Make sure to make education a priority on your analyst, 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 analyst, 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 Analyst, Regulatory Reporting Resume
When listing skills on your analyst, 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 analyst, regulatory reporting skills:
- Good knowledge and experience in the use of Microsoft Excel
- Ensure that Regulatory Capital Reporting develops, maintains and produces comprehensive and effective analysis and top-level reporting of Capital
- Experience in a business change environment and an understanding of business analysis/project management methodology and it’s practical application
- Good understanding of Banking, Risk and Finance
- Structured, disciplined approach to work and good attention to detail
- Responsibility for ensuring each return undergoes thorough review process including existence of detailed work papers supporting large movements
List of Typical Experience For an Analyst, Regulatory Reporting Resume
1
Experience For Senior Analyst, Regulatory Reporting Resume
- Document and ensure adherence to timeliness of regulatory reporting for FCA, SEC, and other regulatory bodies
- Preparation of support schedules for internal auditors and external auditors
- Assist with preparation of support schedules for SEC, CFTC, NFA, FINRA, SFC and MAS examinations
- Monitor the unwind and the creation of any SEC 15c3-3 reverse repurchase transactions
- Prepare bank reconciliations for all segregated securities and futures bank accounts and forex bank accts
- Assist in preparation of CFTC Rule 1.20 daily segregation submission
- Assist in preparation of CFTC Rule 5.8 daily retail forex obligation submission
- Monitor aged margin calls under CFTC rule 1.22 does not exceed residual interest
- Prepare estimated SEC 15c3-1 net capital for TDA and TDAC broker-dealers
2
Experience For Financial Analyst Regulatory Reporting Resume
- Prepare estimated SEC 15c3-1 net capital for TDAFF futures commission merchant and forex dealer member
- Proficient in Microsoft Office Applications (excel, word, access, power point)
- Act confidently, professionally and work independently
- Learn and apply SEC Rule 15c3-1 and SEC Rule 15c3-3
- Learn and apply NFA and CFTC regulations
- Learn and use client-based and server applications
- Series 34 – Retail Off-Exchange Forex Examination (optional)
3
Experience For Project Analyst, Regulatory Reporting, AVP Resume
- Ensures that the team/divisions' goals for accuracy and timeliness are maintained
- Support the analysis required; and,
- Undertake a critical review of the material supplied by businesses within Regulatory Capital Management, and, after consultation with them, arrive at an accurate and agreed content
- Assist in ensure strong control framework is in place to generate the quarterly regulatory reporting and Weekly and Monthly internal business and senior management reporting
- Assist in Internal and External Audit Reviews
- Develops regulatory reporting inventory to include all global reporting supported by GPS, this includes all delegation of reporting by institutional and/or sub-advised clients
- Development and maintenance of an inventory of all third parties leveraged by GPS in the regulatory reporting process; collaborate with GPS functional business teams to identify SLA’s and provide management with metrics to track third party adherence to SLA’s and conveyance of attestations as applicable
4
Experience For Data Analyst, Regulatory Reporting Resume
- Collect and report metrics data designed to measure the quality of reported data and timeliness of delivery related to internal reporting activities; provide metrics reports to GPS management team and others as appropriate
- Review and recommend changes to reporting policies and standards for all regulatory reporting; this includes controls and analysis of data leveraged in reporting process to ensure highest quality data
- Implement global best practices for GPS regulatory reporting functions; collaborate with GPS functional teams to communicate these practices throughout the team
- Excellent organisational, interpersonal & communication skills, as well as a solid control mindset
- Perform to high level of accuracy and have good attention to detail
- Review and maintain documentation regarding clear escalation channels for non-adherence to reporting regulations
5
Experience For Business Analyst, Regulatory Reporting Resume
- Assist in the development of and execution of training activities to ensure GPS staff has transparency and deeper knowledge regarding regulation reporting requirements
- Identify and solution potential risks proactively; ensure escalation and reporting as required
- Serves as a change champion and facilitates continuous improvement throughout the regulatory reporting requirements of GPS and the regulatory team
- Builds productive working relationships with other GPS teams and business partners
- Prepare detailed reports and ensure compliance with the Federal Reserve and other regulatory reporting requirements, the Company’s internal review procedures and all other applicable policies and procedures
- Support the Manager and Director in implementation of significant analytical and reporting processes, procedures and systems using the Company’s control framework
6
Experience For Analyst Regulatory Reporting Resume
- Work closely and coordinate with various Subject Matter Experts and Global Reporting leaders
- Support the Manager and Director in responding to inquiries of (i) Federal Reserve; (ii) GCO; and (iii) other regulatory related inquiries
- Close interaction with the Federal Reserve
- Support special projects including partnering with American Express Technologies on key automation initiatives and enhancing policies and procedures around the regulatory reporting process
- Banking/Financial experience would be an asset
- Display thought leadership, drive process improvements and support work/life balance initiatives
7
Experience For Business Analyst Regulatory Reporting Exception Management Resume
- Understand situations, determine issues, suggest methods of resolution & implement
- Quarter-End Escalation List
- Or a Graduate
- Recommend improvements to control procedures in place to extract data from systems for the various reports, and validate procedures are adhered to before reports are filed. Work with Technology to define new and disruptive technologies that bring automated solutions to improve quality and delivery of data and volume-proof for on-going, increased reporting requirements
List of Typical Skills For an Analyst, Regulatory Reporting Resume
1
Skills For Senior Analyst, Regulatory Reporting Resume
- Excellent communication skills at all levels and the ability to ask the right questions
- Exhibits organizational skills with the ability to meet critical deadlines and manage multiple projects simultaneously
- Qualified CA’s ( or CPA’s) with 1-3 years financial services experience
- A good understanding of Confirmations, ISDA documentation and structured product documentation
- CA/CMA/MBA Finance from a premier institute with 2-4 years of experience
- M Com/CA Inter/MBA finance with 3-5 years of experience
2
Skills For Financial Analyst Regulatory Reporting Resume
- Graduate in Commerce/Finance with 4-6 years of experience
- Ensure complete and accurate reporting for submission to TD Securities USA New York colleagues or directly to regulators as required
- In-depth knowledge of front / middle / back office processes, such as trade execution, settlement, custodian funding, confirmations etc
- Assist in testing system migration feeds into Risk Systems (AXIS and CASTLE)
- Heavily involved in the preparation of the Corporation’s regulatory reports required under the Basel III Standardized Approach and other required reports
- Experience in areas such as risk/portfolio management and analysis, finance/accounting, information systems, real estate industry (sales, appraisal services, etc.), retail/commercial lending
3
Skills For Project Analyst, Regulatory Reporting, AVP Resume
- Decent knowledge of basic banking operations and Bank Balance Sheet
- Knowledge of Federal Reserve Bank Basel II.5/III regulatory Capital requirements
- Knowledge of Federal Reserve Bank leverage ratio requirements (Basel I and III)
- Regulatory experience would be advantageous. In particular knowledge covering current (Basel III/CRDIV) trading and banking book rules. Knowledge of future changes to regulatory rules under (e.g under SA-CCR and SA-CR) would also be beneficial
- Provides production support for regulatory reporting deliverables to the Federal Reserve Board, U.S. Department of Treasury and Cayman Island Monetary Authority
4
Skills For Data Analyst, Regulatory Reporting Resume
- Builds and maintains existing procedures and processes to support completion, up to date and ongoing review of all information required to support required regulatory returns; includes information gathering & manipulating data from source systems and working with business partners to source required information
- Demonstrates strong understanding of best practices from FRB and establishes and maintains the required key controls and analytics to ensure integrity of the regulatory reports
- Support the alignment of existing regulatory reporting processes with new processes being implemented, while producing existing regulatory reporting to ensure consistency and strong data / process governance and necessary controls in place to ensure integrity of reports being filed
- Provides analysis and develops process and governance for information required for TDS US entities reporting into the IHC
- Support continuous improvement efforts related to the regulatory reporting process providing insight and innovative thinking to re-engineer processes and support automation project initiatives
- Ensure consistency in processes amongst regulatory reports with strong process governance
- Heavily involved in the preparation and filing of daily, weekly, monthly, and quarterly regulatory reports
- Support key departmental projects and initiatives #LI-JH2
5
Skills For Business Analyst, Regulatory Reporting Resume
- Ensure SOX documentation is prepared and updated regularly for relevant processes, in accordance with the ScotiaBank SOX office
- Responsible for the production of monthly aggregation of non-GL source data process, including gathering & manipulating data from source systems and working with business partners to source required information; and oversee to ensure non-GL data reconcile to the appropriate GL line items provided by the various data providers
- Develop and maintain multiple business partnerships with source data providers
- Support the alignment of current regulatory reporting processes with new processes as they are being implemented, while producing existing regulatory reporting to ensure consistency and strong data / process governance and necessary controls in place to ensure integrity of reports being filed
- Proactively identify and action opportunities to improve and further automate processes and reporting within area of responsibility
- Support continuous improvement efforts related to the team's regulatory reporting process by providing insight and innovative thinking to re-engineer processes and support automation project initiatives
- Takes initiative to interpret and keep current on rule requirements as it relates to US Wholesale activities
6
Skills For Analyst Regulatory Reporting Resume
- Continuously focus on further developing strong understanding of best practices from FRB and establishes and maintains the required key controls and analytics to ensure integrity of the regulatory reports
- Maintain and build upon existing procedure documents and processes by updating and performing ongoing review of all information required to support required returns
- Demonstrate a general understanding of the laws and regulations relevant to threshold reporting by monitoring updates sent to the department
- Support key departmental projects and initiatives
- Experience with data management principles and processes and robust familiarity with various data analysis and reporting tools such as: MS Access, MS Excel, Aginity, Advanced Query Tool, Essbase, SQL, Business Objects, etc
- Ensure regulatory reporting processes are well controlled and efficient processes
- Chartered Accountant/MBA in Finance
- Broad knowledge of investment services operations and trading processes including post-trade processing, security master data, pricing, and other operational services and data utilized
7
Skills For Business Analyst Regulatory Reporting Exception Management Resume
- Tech savvy; familiar with and the use of disruptive technology
- Abilities to improve processes, increase the level of automation and strength controls
- Personally ensures the delivery of high quality service and consistently exceeds customers’ expectations
- Proficient usage of Microsoft applications, especially Excel
- An understanding of the key elements of the front to back processes including other infrastructure groups i.e. Finance, Market risk, Credit risk, Operational risk, Legal, Tax and Compliance. Familiar with running reconciliations and controls
- Strong IT system skills, and a proficiency in Excel
- An ability to gather information from a broad range of sources and disseminate to the team, and other teams within NatWest Markets
8
Skills For Data Analyst / Regulatory Reporting Auditor Resume
- An ability to gather information from a broad range of sources and disseminate to the team, and other teams within NatWest Markets Accept responsibility for actions, willing to make informed decisions and have the confidence to act decisively on those decisions
- Co-ordinate completion of specific Regulatory Reporting returns required for regulators such as APRA, Reserve Bank of Australia and Australian Bureau of Statistics ensuring returns are of a high quality and are submitted by due date
- Be the key contact within Group Finance in respect of regulatory reporting, including Business Unit teams on queries associated with published data
- Build a co-operative and effective relationship with Business unit finance teams, Technology, Risk and Compliance in relation to regulatory reporting requirements
- Responsible for supporting the end to end processes relating to all returns for which this role is responsible
- Identify opportunities to improve and increase efficiency of the regulatory reporting processes used; initiate appropriate action; drive the adoption of best practice
- Support Group Centre as a business in producing Regulatory Returns
- Monitor regulatory updates as and when for impacts to Regulatory Reporting
9
Skills For Lead Analyst Regulatory Reporting Resume
- Intellectually curious and open to challenging themselves and others to explore new opportunities
- Challenges status quo in pursuit of world class execution and creating competitive advantage
- Ensure compliance with relevant standards, policies, legislation and regulations (Statutory and Regulatory)
- Passion about, and ability to work with and develop, others
- A tertiary qualification in Finance /Technology or a related discipline
- Experience with documenting requirements and test cases, facilitating workshops, coordinating testing, business process mapping, process re-engineering and full project lifecycle
- Work well under pressure and in a dynamic environment, delivering timely, accurate and high quality solutions to business opportunities and challenges
10
Skills For Financial Analyst, Regulatory Reporting Resume
- Strong professional experience in Finance roles
- Provide support and Regulatory Risk sign off to line teams for new product approvals
- Provide line support to CRIS production teams on DQ issues in AXIS and CASTLE
- Support the Head of the Governance & Capital Advisory by supporting the delivery and sign off of CRIS regulatory self-assessments and the design and delivery of the wider CRIS control framework
- Face off to CRIS Production Managers to ensure the details of any developing regulatory changes are understood and the input required from their teams in completing the self assessment is clear
- Maintain and enforce a robust control framework ensuring tactical calculations carried out in EUDAs and any associated manual adjustments undertaken are accurately captured in the supporting controls for production processes
- Review CRIS EUDAs and work on strategic fixes as part of wider CRIS decommissioning efforts
- Escalate areas of non-compliance for strategic remediation in relevant systems (e.g. AXIS, CASTLE) and identified precision opportunities to the attention of relevant governance forum (i.e. Capital Task Force)
- Assist in preparation of the quarterly FRY-7N Report to the Federal Reserve Bank of New York
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