Regulatory Reporting Associate Resume Sample
Sallie Schiller
50929 Chelsey Heights,
Phoenix,
AZ
+1 (555) 266 5236
Work Experience
Regulatory Reporting Associate
12/2016
-
PRESENT
Dallas, TX
- Resolution and Recovery Planning Program Management
- Coordination and documentation of AM’s quarterly Management Representation Letter and Control Affirmation process
- Preparing and reviewing financial statements for private funds in accordance with Generally Accepted Accounting Principles and/or International Financial Reporting Standards, as appropriate
- Working with the Funds’ external auditors to support the completion of annual audits
- Assist the team in preparation of the firm’s statistical reporting requirements to the Bank of England for the UK Bank regulated entities (JPMCB, JPMSplc, JPMEL, JPMIB)
- Assist in the preparation of JPMSplc’s monthly and quarterly financial reporting requirements to the FSA (FSA001, FSA002, FSA015, FSA017)
- Monitoring overall data collection status from various functional teams within BlackRock
- Reviewing internal reporting policies for reasonableness and compliance with applicable regulations
CIB F&bm-regulatory Reporting Associate
10/2009
-
10/2016
Boston, MA
- Working with various BlackRock teams and external organizations (e.g. administrators and prime brokers) to facilitate data collection solutions
- Financial regulatory reporting
- Preparation of monthly, quarterly, annual Focus, SSOI, SPIC, OBS, BE605, BE185, TIC B reports along with supporting work papers, variance analysis
- Preparation of monthly FR2052a reports for all 6 entities
- Reconciliation of Cash flow data received from US Operations to each entity's General Ledger balance
- Review and understanding of variances in daily balances of the cash flow data and follow up with data providers/business owners for validation
- Discussion/questioning with related stake holders (i.e. Risk Management Department for alignment with LCR reporting)
Corporate Market Risk Regulatory Reporting Associate
02/2007
-
05/2009
New York, NY
- Financial regulatory reporting for branches
- Preparation of weekly, monthly, quarterly, annual FR2644, TIC reports, FFIEC002, FFIeC002s, Cayman Locational report and QPR reports etc
- Experience in public accounting or regulatory reporting in financial institutions
- Knowledge of US GAAP for financial products
- Experience and familiarity with financial regulatory reporting requirements
- Knowledge of various financial products (i.e. Derivatives, securities, loans and leasing)
- Produce regulatory and management reports in a timely & accurate manner
Education
Northwood University - Florida Campus
2002 - 2007
Bachelor's Degree in Finance
Professional Skills
- Strong problem-solving skills, able to identify risk and mitigate accordingly
- Excellent German and English language skills. (regulation texts are predominantly in German)
- Self motivated with strong presentation and interpersonal skills
- Experience Finance with a proven track record on regulatory reporting
- Knowledge of SQL and computer skills
- Experience in public accounting or broker dealer regulatory reporting for a financial institution
- Relevant, good quality experience in the finance industry. Such as working in; investment banking, asset management or financial services
How to write Regulatory Reporting Associate Resume
Regulatory Reporting Associate role is responsible for sql, architecture, database, training, securities, finance, reporting, german, excel, english.
To write great resume for regulatory reporting associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regulatory Reporting Associate Resume
The section contact information is important in your regulatory reporting associate 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 Associate Resume
The section work experience is an essential part of your regulatory reporting associate 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 associate 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 associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regulatory Reporting Associate resume experience can include:
- Experience of producing regulatory reports is desired but not essential
- Working with IT/Project team and other stakeholders to automate regulatory reports
- Periodic review on our existing regulatory report process/documentations
- Actively supporting manager on regulatory reports/control framework new initiatives
- To work with project member on the BHC reporting
- Preparation of quarterly FRY 9C, FRY 11 and FFIEC009 reports and all other BHC reports,along with supporting work papers, variance analysis
Education on a Regulatory Reporting Associate Resume
Make sure to make education a priority on your regulatory reporting associate 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 associate 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 Associate Resume
When listing skills on your regulatory reporting associate 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 associate skills:
- Excellent oral and written communication skills and attention to detail are required
- Good problem - solving skill is required 15%
- Good communication skill is required 15%
- Good analytical skill is required 15%
- Provide informed skill set to deliver change initiatives directly relating to changes in reporting requirements. E.g. EMIR collateral and valuations
- US Regulatory Reporting experience
List of Typical Experience For a Regulatory Reporting Associate Resume
1
Experience For CIB F&bm-regulatory Reporting Associate Resume
- Drive remediation efforts relating to any issues identified across the suite of reports owned by the team, prioritising as necessary, and help to educate others on the importance of breach management
- Involvement in ongoing change management as it relates to regulation, upstream system changes and new business initiatives, helping to evaluate impact for the team and ensure our data quality and processes are not compromised
- Experience in the review and interpretation of regulatory text or control function
- Strong knowledge of internal processes and controls
- Experience in regulatory governance or regulatory compliance
2
Experience For Fixed Income Regulatory Reporting Associate Resume
- Strong knowledge of internal controls (i.e. COSO 2013 internal control framework)
- Strong knowledge of Microsoft Office (i.e. Excel, Word, PowerPoint)
- Tracks and monitors all regulatory reporting-related issues (i.e. reporting, reporting systems and applications, etc…)
- Prepares regular project meeting minutes and weekly project status report
- Prepares monthly regulatory reporting governance status reports for the Controllers department and the various bank committees
3
Experience For AWM Quality Assurance Over External Regulatory Reporting Associate Resume
- Prepares quarterly financial regulatory reporting update for senior management
- Knowledge or familiarity of BHC or IHC regulatory reporting requirements
- Coordinates, supports and monitors all ongoing and upcoming inter-departmental/inter-subsidiary regulatory reporting project initiatives and remediations (i.e. BHC reporting project, FFIEC 102 project, FFIEC 002 Call Report Remediation project, etc…)
- Communicates and explains project requirements to the stakeholders
- Perform follow-ups on the deliverables from the stakeholders
4
Experience For Alternative Fund Regulatory Reporting Associate Resume
- Saves and documents all deliverables
- Monitors and ensures cross-departmental compliance to the bank's accountability policy
- Coordinates, supports and monitors all 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…)
- Highly experienced team player
List of Typical Skills For a Regulatory Reporting Associate Resume
1
Skills For CIB F&bm-regulatory Reporting Associate Resume
- Good PC Skills in Excel, VBA MACRO
- Experience / familiarity with FRB / OCC Regulatory Reporting
- Constant drive to improve existing controls and develop new ones in order to promote a strong governance model
- A good, clear understanding of process flows, front to back, and products
- Experience producing Form 5500
- Public or Private CPA experience
- Strong knowledge of US GAAP for financial products
2
Skills For Fixed Income Regulatory Reporting Associate Resume
- Strong knowledge of various financial products (e.g. derivatives, securities, Repos, etc.)
- Knowledge of SQL computer skill
- Understanding of the new regulatory reporting requirements and the ABACUS DaVinci application
- Accountable for overseeing and monitoring correct reporting for FX and FXO
- Provide appropriate input in all change initiatives advising on potential impact upon reporting flow
- Assist in socialising the control framework to Global Markets
- Diploma in Finance, Banking, Business Administration or MBA
- Banking business knowledge
- The implementation of controls within the wider GM control framework and ensure that the controls remain usable and relevant
3
Skills For AWM Quality Assurance Over External Regulatory Reporting Associate Resume
- Very professional with good RM & stakeholder skills with the ability to work with people of all levels – communication is obviously a very powerful tool especially when it comes to making projects work across different departments and parts of the business
- Demonstrate an ability to work on their own and with out supervision, able to take the initiative and take responsibility but also show a good understanding of team work
- Demonstrate enthusiasm, drive and commitment whilst still being grounded and approachable
- Dodd Frank / EMIR trade reporting
- Awareness of operational risk; risk management and exception functions
4
Skills For Alternative Fund Regulatory Reporting Associate Resume
- Assist in the Quality Assurance programme and ensure continuity into BAU
- Develop a thorough knowledge of your client base, prospectus, documentation, etc
- Actively participate in audits across multiple departments and geographical locations and respond to internal and external inquiries
- Oversee correspondence for distribution to Fund management and Board of Directors when deemed appropriate
- Create, maintain and update procedures for the funds
- Ensure all schedule work is completed by agreed deadlines, checklists are signed and files contain all required
- Identify efficiencies and areas for improvement to reduce risk and become more efficient
- PC Literate and proficient in Microsoft Excel, Word, PowerPoint and Access
5
Skills For Corporate Market Risk Regulatory Reporting Associate Resume
- Able to identify and resolve issues with minimal supervision
- Mange multiple tasks
- Meet tight deadlines for regulatory reports
- Microsoft Office Suite experience with advanced skills in Excel (formatting cells, working with macros & pivot tables etc.) and Access (ability to work with & manipulate large sets of data)
- Experience regulatory reporting of financial instituion
- Exposure to derivatives accounting and reporting desired
6
Skills For Cib-f&bm Regulatory Reporting Associate Frankfurt Resume
- PL/SQL – Be able to write basic SQL queries (SELECT, JOIN, UPDATE etc) to identify, join, explore and examine data from multiple sources and formats
- Professional qualification desirable e.g. IMC | CFA | CIMA | ACCA etc
- Strong communication skills and ability to explain complexities in a comprehensive manner. Ability to build and maintain strong inter-departmental relationships
- Organisation and project management skills
- Excellent team-player with a “can-do” and flexible attitude, willing to support a cross section of team functions in a changing environment
- Excellent attention to detail and ability to work to strict deadlines
- Structured Query Language (‘SQL’) programming
- Proactive approach in the absence of clear or defined requirements
7
Skills For CIB F&bm-financial Regulatory Reporting Associate Resume
- Experience in regulatory reporting implementation project experience ( i.e: Attending meeting, creating an issue log and reviewing data. Also performing reconiliation and validating reports in Reg-Reporter application to ensure all the data are validated and reconciled to General ledger.)
- Establish effective working relationships with Compliance, Legal, Technology, other Operations teams in addition to relevant vendor contacts and peers
- Work closely with the relevant change management project team(s), assuming the role of Operations SME, participating as necessary in analysis and testing
- Knowledge in regulatory reporting 20%
- Albility to manage multiple assignments 25%
- Liaise with other stakeholders (compliance/IT/BU) when a new regulatory report is identified
- Ensure compliance with ORRC risk policies , operation best practice and compliance interpretation
- Escalate any potential regulatory impact incidents to senior management immediately
8
Skills For Bank Regulatory Reporting Associate Resume
- To preparation of monthly FR2052a reports for all 6 entities
- To work with Lombard Risk towards the implementation of the BHC reports
- Partner with legal and regulatory administration to prepare SEC filings and other materials in connection with the requirements of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940
- Coordinate annual, and amended registration statement updates which include statutory prospectuses, summary prospectuses and statements of additional information
- Prepare and review additional filings including: shareholder proxy statements, XBRL filings, NSARs, prospectus & SAI supplements, and other mutual fund and securities-related SEC submissions
9
Skills For CIB F&BM Regulatory Reporting Associate Resume
- Gather and prepare documentation for Fund Board meetings
- Collaborate with legal and regulatory administration on registration statement preparation
- Post and maintain Fund documents on Northern and Northern Institutional Fund websites
- Process fund invoices and maintain product management budget
- Serve as primary liaison between the investment adviser and the financial printer
- Advanced proficiency with Microsoft Office (Outlook, Word, Excel, and PowerPoint) is required
- Review and analyse regulatory text and associated guidance in conjunction with Legal and Compliance teams; create/maintain interpretation documentation; contribute to business requirements as necessary
10
Skills For Local Regulatory Reporting Associate Resume
- Represent the firm at relevant Industry forums and peer groups to ensure the firm is aware of vendor tools, market challenges and proposed approaches/solutions
- Help develop the optimum model for the effective processing of reports, establishing best practices and a robust control framework; creation and maintenance of relevant procedures
- Ownership for the resolution of exceptions and involvement in the production of MI, Data Quality, third party relationship management, escalation of issues, ensuring timely and accurate compliance with the regulation
- Cross-train on regulatory reporting within the team, with a view to identifying areas of improvement or synergy and opportunities for scale and efficiency in addition to being able to fully support and own the relevant processes
- Develop comprehensive knowledge of our internal processes and supporting business applications, working with the team to achieve a consistent operating model wherever possible
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