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Head of Regulatory Assurance and Validation
2 months ago
This leadership role is pivotal in overseeing the design and assessment of Comprehensive Capital Analysis and Review (CCAR) processes for a forward-thinking global financial institution.
Key Responsibilities:
- Supervise the strategic planning, execution, and independent validation efforts to ensure the integrity of external reporting, particularly in relation to CCAR and liquidity management.
- Lead a dedicated team responsible for compliance, control, and substantive testing through regular evaluations of regulatory submissions and internal controls.
- Direct the validation testing of regulatory reports, ensuring quality assurance in capital planning (CCAR) and liquidity control assessments.
- 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 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 any overages, implementing process improvements, and preparing comprehensive status reports.
Qualifications:
- Demonstrated experience in cultivating and leading teams focused on audit, quality assurance, and regulatory compliance, adhering to professional standards and regulatory mandates.
- Possess an audit-oriented mindset that meets or surpasses program standards, primarily through effective oversight, training, and mentoring 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 stem from a mix of public accounting (Big 4 or large regional firms), internal audit, and/or quality assurance practices, although other pertinent experience related to CCAR will also be considered.
- Strong analytical and critical thinking skills, with a proven ability to solve problems and manage time effectively.
- 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 obligations.
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