Head of Regulatory Compliance and Assurance

2 weeks ago

New York, New York, United States Ashton Lane Group, Inc Full time
Position Overview

This leadership role is pivotal in supporting the design and testing of Comprehensive Capital Analysis and Review (CCAR) for a forward-thinking global financial institution.


Key Responsibilities:
  • Oversee the strategic planning, execution, and independent validation processes to ensure the integrity of external reporting, particularly in relation to CCAR and liquidity management.
  • Lead a dedicated team responsible for implementing adherence, control, and substantive testing protocols through regular assessments of regulatory submissions and internal controls.
  • Direct the validation testing for regulatory reporting, ensuring quality assurance in capital planning (CCAR) and liquidity control processes.
  • Offer expert guidance to enhance the precision of reports submitted to regulatory bodies.
  • Collaborate with essential stakeholders in regulatory reporting to pinpoint opportunities for improvement, including process enhancements and remediation of identified issues.
  • Work closely with the Head of Financial Risk and Controls to manage and synchronize the regulatory reporting validation program, ensuring deadlines are met, documenting any discrepancies, identifying process enhancements, and preparing comprehensive status reports.

Qualifications:
  • Demonstrated experience in developing and leading teams focused on audit, quality assurance, and regulatory compliance, adhering to professional standards and regulatory mandates.
  • Exhibit an audit-oriented approach that meets or surpasses program standards through effective oversight, training, and mentorship of 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 combination of public accounting (Big 4 or large regional firms), internal audit, and/or quality assurance, with a focus on CCAR-related tasks.
  • Strong analytical and critical thinking skills, coupled with effective problem-solving and time management capabilities.
  • Ability to collaborate with others to effectively 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 requirements.

Ashton Lane Group is a specialized executive recruitment firm dedicated to serving the Banking, Insurance, and Alternative Investment sectors. For more information on current opportunities, please visit our website.


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