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Head of Regulatory Compliance and Assurance
2 months ago
This leadership role is pivotal in steering the design and evaluation processes for a forward-thinking global financial institution.
Key Responsibilities:
- Supervising the strategic planning, execution, and independent validation to ensure the integrity of external reporting, encompassing CCAR and liquidity management.
- Overseeing a team dedicated to compliance, control, and substantive testing protocols through regular assessments of regulatory submissions and controls.
- Directing the validation testing for regulatory reporting, including quality assurance for regulatory submissions, capital planning (CCAR), and liquidity control verification.
- Offering expert guidance to enhance the precision of reports submitted to regulatory bodies.
- Collaborating with essential stakeholders in regulatory reporting to pinpoint areas for improvement, including process enhancements and remediation needs.
- Working in close partnership with the Head of Financial Risk and Controls to manage and synchronize the regulatory reporting validation program, ensuring deadlines are met, documenting overages, identifying process improvements, and preparing status updates.
Qualifications:
- Demonstrated experience in developing and leading teams focused on audit, quality assurance, and regulatory compliance that adhere to professional standards and regulatory mandates.
- Possess an audit-oriented mindset that meets or surpasses program expectations, primarily through oversight, training, and mentoring team members across various locations.
- Experience in establishing and managing capital planning and regulatory reporting functions within the financial services sector.
- Relevant experience may include a blend of public accounting (Big 4 or significant regional accounting firms), internal audit, and/or quality assurance execution, although other pertinent experience related to CCAR will be considered.
- Strong analytical and critical thinking skills, including problem-solving and effective time management.
- Ability to collaborate effectively with others to advocate for robust controls surrounding regulatory reporting.
- A Bachelor’s (or Master’s) Degree in Accounting (preferred), Finance, or a related discipline.
- Comprehensive understanding of banking regulations and other regulatory reporting obligations.
Ashton Lane Group is a specialized executive recruitment firm catering to the Banking, Insurance, and Alternative Investment sectors. For more information on current opportunities, please visit our website.
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