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Regulatory Compliance Reporting Analyst

2 months ago

New York, New York, United States Phyton Talent Advisors Full time

Overview of Responsibilities


• Generate and compile regulatory reports as designated, adhering to US GAAP and specific reporting guidelines for various timeframes including daily, weekly, monthly, quarterly, and annual submissions (e.g., FR2900, FR2644, FFIEC 002, FFIEC 019, TIC reports, BE reports, etc.).


• Possess a solid understanding of the reporting software (Axiom) utilized by the department for regulatory documentation.


• Identify and monitor issues concerning system and data integrity within regulatory reports. Proactively ensure the accuracy of Critical Data Elements (CDEs) used in Regulatory Reporting, collaborating with team members for initial root cause analysis and resolution.


• Work closely with various stakeholders across the organization (such as AXIOM Project team, Data Governance, Operations, Treasury, Credit Risk, Product Control, IT, etc.) to interpret, operationalize, and implement new reporting mandates while addressing known and self-identified challenges.


• Engage in comprehensive testing for all AXIOM Business As Usual (BAU) releases as required.


• Assist in gathering and organizing requested information, responding to inquiries from Internal Audit, Quality Assurance Internal Control, and external Federal examinations. Drive enhancements to processes and controls based on testing outcomes.


• Develop and update Policies & Procedures along with other documentation, including process flows and risk control matrices.


• Contribute to the data collection for regulatory reporting metrics for dashboards.


• Prepare presentation materials for internal stakeholders. Aid in the creation and/or revision of training resources and conduct training sessions as necessary.


• Attend required training sessions related to Finance, U.S. GAAP/IFRS, Regulatory compliance, and any mandatory Compliance training.


• Demonstrate the ability to respond promptly and adequately to ad-hoc regulatory inquiries while ensuring the completion of other deliverables.


• Exhibit a high degree of initiative, independent judgment, and self-direction in achieving objectives and resolving issues, while knowing when to seek clarification or assistance.


• Perform additional tasks as assigned.

Essential Qualifications:


• Minimum of 5 years of experience in financial and regulatory reporting within a large and complex banking institution or consulting firm, with at least 3 years focused on regulatory reporting.


• Strong understanding of accounting principles and U.S. GAAP regulations.


• In-depth knowledge of banking and capital markets, particularly in areas such as loans, deposits, and prime services.


• Familiarity with necessary controls related to specific processes (pertaining to Internal Control).


• Proficient in PC applications, particularly the MS Office Suite; advanced skills in Excel (formulas, pivot tables, Vlookup, etc.), and comfortable managing large datasets.


• Experience with AXIOM is preferred.

Preferred Qualifications:


• Experience with PeopleSoft is considered an asset.

Key Competencies:


• Strong work ethic and accountability.


• Excellent written and verbal communication skills, including the ability to present to senior management.


• Capability to thrive in a rapidly changing environment and a strong aptitude for learning.


• A mindset focused on control and compliance.