Regulatory Controller Cover Letter

I would like to submit my application for the regulatory controller opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for status of financial condition to the Management and Executive Team by collecting, interpreting, and reporting financial data.

My experience is an excellent fit for the list of requirements in this job:

• Interacting and providing support to FINRA, SEC, Internal, and public auditors
• Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
• Supervising FAKC (Offshore) team for tasks related to 15c3-1 capital
• Help provide guidance and training for team members
• Help build NC location 15c3-1 capital and FCM team
• Proven skills in managing and developing staff
• Holding a professional qualification is desirable
• Familiarity with current regulatory rules (CRD4) and reporting requirements (COREP)

I am excited to be applying for the position of regulatory controller. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for status of the resort’s financial condition by developing and monitoring business performance metrics; and by collecting, analyzing, interpreting, and reporting financial data.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Strong written and oral communication skills, excellent interpersonal skills and a proven
• Preparation, review and signing off on daily and monthly 15c3-1 or 15c3-3 regulatory computations
• Review and preparation of month end 15c3-1 and 15c3-3 schedules for FOCUS Reporting
• Supervising local and GFCI (Offshore) team for tasks related to 15c3-1 and 15c3-3
• Provide guidance, mentorship and training to team members
• Advanced experience/skills with systems, Excel and complex spreadsheets
• Prior managerial \ controllership roles supporting 15c3-1 and 15c3-3
• Streamlining or process improvements

I submit this application to express my sincere interest in the regulatory controller position.

In the previous role, I was responsible for status of financial condition by collecting, interpreting, and reporting financial data in an accurate and timely manner.

Please consider my qualifications and experience:

• Oversight and review of the firm’s statistical reporting requirements to the Bank of England and financial reporting requirements to the PRA (FinRep and FSA) for UK regulated legal entities
• Maintain strong regulator relationship management including timely responses on reporting queries and providing feedback at Bank of England statistical reporting forums
• Enhancing the control framework for the Financial reporting team over reconciliations, break resolution/investigation and driving the function to being ‘best in class’ for evidencing of completeness and accuracy of reporting
• Work with senior managers to highlight and resolve control issues using the UK Regulatory Reporting Completeness and Accuracy Standards
• Focus on driving process efficiency – including proactive challenging and constructive feedback to improve processes in the Axiom operating model
• Partner with the UK Legal Entity controllers and UK Regulatory Capital Reporting teams to ensure consistency/stronger legal entity reporting and improve line of business engagement
• Work with local Regulatory Project team on new releases and assist the London team with review of trade flows for new business initiatives
• Managing a team of 7 in London with matrix reporting oversight responsibilities for 10 in Mumbai

I would like to submit my application for the regulatory controller opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for status of financial condition by collecting, interpreting, and reporting financial data to the executive team and global headquarters.

Please consider my experience and qualifications for this position:

• Maintain strong cross-location partnership with the Mumbai Regulatory teams reinforcing our focus on people, technical expertise and transparency of BAU processes
• Familiarity with financial reporting concepts (US GAAP/UK GAAP) and reporting requirements (FinRep/BoE statistical reporting) would be desirable but is not essential
• Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
• Help build NC location 15c3-1 capital team
• Practical Equity and Fixed Income product knowledge
• Prior experience within Financial services, particularly with product control, regulatory or related functions
• Awareness of Market Risk Regulatory framework
• Minimum requirement - B

In response to your job posting for regulatory controller, I am including this letter and my resume for your review.

In the previous role, I was responsible for status of financial condition of the company by collecting, interpreting & reporting of financial data.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience in audit field and/or experience in Accounting/Finance related department
• Understanding of main differences in accounting Gaaps (IFRS, US Gaap, Lux Gaap..)
• D Level Regulatory finance role accountable for governance around Openreach Classes of Work (COWs) including review of current allocation methods and identification of improved practices
• Will operate in a highly complex environment with high risk (potential financial or commercial impact, business unit/LOB level visibility, potential reputational impact)
• A background in financial planning, reporting, analysis, consolidations and systems
• A knowledge of the UK telecommunications regulatory environment, and ideally an understanding of financial regulation
• Strong analytical skills, and a proven track record of working with and interpreting large complex datasets
• Pragmatic team player, adept at holding others to account through a challenging and supportive style, whilst consistently delivering on their own commitments