Financial & Regulatory Reporting Resume Samples

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B Prosacco

Brendan

Prosacco

801 Walter Mountain

Los Angeles

+1 (555) 909 2001

801 Walter Mountain

Los Angeles

Phone

p +1 (555) 909 2001

Experience Experience

Chicago, IL

AVP Local Financial & Regulatory Reporting

Chicago, IL

Lowe and Sons

Chicago, IL

AVP Local Financial & Regulatory Reporting

Actively participate in development of team members by providing SMART objectives, timely feedbacks and coaching
Owning the local financial statements and Ind-AS working
Owning the Basel Computations
Maintain Department Operating Instructions, which documents the process followed by the function
Partner with business to ensure compliance with regulations, optimize the impact arising from the compliance of regulations
Own the ADF system
Ensure statutory certificates as directed by RBI are timely obtained and submitted

Chicago, IL

Financial Accountant Financial & Regulatory Reporting

Chicago, IL

Howe-Tromp

Chicago, IL

Financial Accountant Financial & Regulatory Reporting

Performing monthly Account Ownership reconciliation
Attend to ad-hoc queries from Internal (Head Office, Front Office, Local management) and/or external stakeholders
Process improvement to enhance current reporting process
Perform daily and monthly General Ledger reconciliation for Private Banking transactions
Involve in project and improvement initiated by other business impacting accounting process
Implement changes to accounting treatment as well as accounting for new products
Preparation of monthly reports for local International Financial Reporting Standards (IFRS) and US General accepted accounting Principles (GAAP) reporting

present

Phoenix, AZ

Senior Technical Program Manager Non-financial Regulatory Reporting

Phoenix, AZ

Kuvalis Group

present

Phoenix, AZ

Senior Technical Program Manager Non-financial Regulatory Reporting

present

Develop test strategies and execute functional and user acceptance testing
Manage multiple work streams within complex regulatory projects
Develop definitions and implement processes for reporting metrics
Build and leverage strong working relationships with key stakeholders and partners
Lead and manage governance and steering committees
Develop implementation strategies and project plans
Represent Global Markets projects at global governance meetings, and other project forums

Education Education

Bachelor’s Degree in Computer Science

Iowa State University

Bachelor’s Degree in Computer Science

Skills Skills

Very good communication skills and ability to work in the team
Excellent knowledge of MS Excel (VBA, SQL would be additional asset)
Domain knowledge on Banking and Financial & Regulatory Reporting is
Knowledge on scripting / Java is
A self-motivated personality, and able to work efficiently by himself/herself, as well as, in a team
Able to drive priorities within the Enterprise and resolve any dependencies on Enterprise Solutions
Team Leading experience
4-5 years of relevant experience in the areas of Finance, Audit, Regulatory Reporting
Accounting qualifications: ACA/CIMA/ACCA or equivalent or experience in regulatory reporting for German Regulatory Bodies like Bundesbank or BaFin
Experience working with regulatory project (e.g. Basel III, CCAR, BCBS 239)

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Financial & Regulatory Reporting, SVP Resume Examples & Samples

Manage and ensure integrity and accuracy of the US and Canadian financial and regulatory reporting for Citibank Canada (Schedule II Bank), Citibank, N.A., Canadian Branch (Schedule III bank) and Citigroup Global Markets Canada, Inc. (full service broker-dealer), which are engaged in various businesses including Derivatives, Corporate Banking, Cash Management, Custody, and Agency & Trust, Private Bank, Equity trading, Investment Banking, etc
Lead the implementation of new, and adherence to, US GAPP, IFRS and regulatory requirements, including researching and providing guidance to businesses on accounting and regulatory issues
Lead the preparation of year end audited financial statements for Citibank Canada (including its subsidiaries), Citibank, N.A. (Canadian Branch), Citigroup Global Markets Canada, Inc. and Citi Canada Pension Plan
Lead the preparation of Board of Directors materials, including business performance analysis, asset, earnings and capital forecasts
Lead and manage the response to and/or implementation of changes in regulatory environment
Provide leadership, guidance and mentorship to finance professionals through hiring, on-going coaching/development and retaining talent
Manage and/or participate in ad hoc projects as required, such as Basel, automation and/or reengineering of reporting processes

Senior VP of Financial & Regulatory Reporting Resume Examples & Samples

Bachelor's Degree in Accounting, Economics, Engineering and/or Finance
Previous Audit experience (Financial; Operational; Products)
CIA / CPA

Financial Accountant Financial & Regulatory Reporting Resume Examples & Samples

Responsible for Private Banking reporting within SG FA
Perform daily and monthly General Ledger reconciliation for Private Banking transactions
Preparation of monthly reports for local International Financial Reporting Standards (IFRS) and US General accepted accounting Principles (GAAP) reporting
Performing monthly Account Ownership reconciliation
Accounting for the various products in the Private Banking world – vanilla to complex derivatives as well as deposits, loans
Attend to ad-hoc queries from Internal (Head Office, Front Office, Local management) and/or external stakeholders
Attend Intercompany queries in relation to intercompany break issue
Implement changes to accounting treatment as well as accounting for new products

Avp-financial & Regulatory Reporting Resume Examples & Samples

Manage finance function of the regulatory reporting, and ensure the quality and timeliness of regulatory returns to regulators
Maintain effective relationship with regulators and auditors for regulatory reporting, as well as providing prompt response to HKMA enquiries or information request with respect to regulatory returns
Provide regulatory reporting treatment advice to business partners and assess the impact of new business/products on regulatory reporting
Identify improvement opportunities of reporting process, develop and implement systems for regulatory reporting
Ensure effective and efficient control process in place for return preparation and review

Manager Financial & Regulatory Reporting Resume Examples & Samples

Financial/Regulatory/Tax reporting and Accounting
Professional accounting designation required – CPA, CA designation preferred
5 years of post-qualification Financial Institution experience
Knowledgeable and experienced in financial accounting, reporting and IFRS
Experience and familiarity with the Bank’s accounting systems and procedures
Knowledge of the accounting treatment for securities and mutual fund industry
Strong leadership and managerial skills are needed
Advanced interpersonal skills are important as the incumbent must be able to work with various levels of Management and Bank employees as well as external contacts
Strong verbal and written communication skills are needed
Knowledge of the Bank’s reporting systems: EGL/OBI/Smartview, Legacy (INEA), SUN, Peoplesoft, Dataphile
Adept at using various PC software applications (Taxprep, Excel and Word)
A team player, willing to assist other members of the department and the organization in order to meet deadlines and deliverables with varying degree of priorities and complexities

Financial Regulatory Reporting VP Resume Examples & Samples

7 or more years of financial regulatory reporting related to banking products
People Management/Supervisory Experience
Past experience in understanding and interpreting regulatory reporting instructions surrounding federal requirements
Public Accounting Experience
FASB/SEC Exposure

Financial Regulatory Reporting Senior Business Analyst Resume Examples & Samples

Documentation of the current state processes, business requirements including the target state processes
A good understanding of the finance function and processes of a financial service organization including but not limited to: General Ledger, accounting/finance processes, US GAAP/IFRS, regulatory reporting
Federal Reserve and/or EBA reporting experience is desirable
Understanding of/experience in FinRep/Asset Encumbrance Reporting
Qualified accountant

Financial Regulatory Reporting Lead Resume Examples & Samples

Design and maintain Financial Regulatory data mart on Enterprise data warehouse, ensures the architecture is in line with enterprise architecture and regulatory requirement
Design and develop reporting solutions on top of the data mart for regulatory, management reporting and adhoc queries
Work with Dev/QA and Project/Program managers/enterprise architects to drive the solution best suited for the application
Leverage and utilize enterprise and reusable solutions and services to gain efficiencies and consistencies
Bachelor’s degree in computer science of equivalent with around 10+ years of experience of architecture, design and development of data warehousing, ETL and Business Intelligence solution
Technical expertise working on database appliances, columnar database and big data (specially Hadoop, ExaData, Vertica, SQL Server ), ETL (Pentaho) and BI ( JasperSoft ) is a must
Knowledge on scripting / Java is a plus
Experience working with regulatory project (e.g. Basel III, CCAR, BCBS 239)
Able to drive priorities within the Enterprise and resolve any dependencies on Enterprise Solutions
Able to drive Functional requirements various regulatory development projects with the Enterprise target Architecture
Project management experience managing a large data project is a plus
Must be a self-starter with effective oral and written communication skills
A self-motivated personality, and able to work efficiently by himself/herself, as well as, in a team
Domain knowledge on Banking and Financial & Regulatory Reporting is a plus

Senior Accountant Financial & Regulatory Reporting Resume Examples & Samples

Prior accounting broker/dealer experience in a retail setting
Financial and Regulatory Reporting experience
4-5 years corporate experience; or 2-3 years in a public accounting firm
Excellent working knowledge of Microsoft Office

Financial & Regulatory Reporting Controller Resume Examples & Samples

Preparation and analysis of monthly financial accounts, and quarterly reporting to the US, under US GAAP
Preparation of financial statements under Swiss GAAP, interaction with Auditors
Regulatory reporting (capital adequacy, liquidity, statistical) in the context of Basel 3
Tax reporting, including coordination with the European and US Tax teams on local and foreign tax issues, involvement in Transfer Pricing. Interaction with local tax authorities and support for tax audits
Co-ordination and controlling of the Bank’s business activities including Credit risk on loans, bank guarantees and derivatives; and Market risk on currency exposure positions
Preparation of Monthly Zurich Risk Management pack for committee review
Participation in global financial/regulatory projects (new regulatory framework, systems developments, new products)
Academic degree and a qualification in Accounting
2 to 4 years of professional experience in Accounting and Finance
Strong analytical skills, and attention to detail
Excellent communication skills and fluency in English and ideally German
Strong organization skills, flexible, and a precise and consistent working style

QA Over Financial Regulatory Reporting VP Resume Examples & Samples

Sarbanes-Oxley (SOX) Control Program
Monthly preparation of Risk Reporting for Seed Capital, Co-Investments and Principal Risk Reporting
Legal Entity Structure / Reg-W Reporting (Metrics / EMRs)
The candidate must be an experienced professional who possess strong auditing skills, good knowledge of the private bank/wealth management and/or investment management businesses, financial instruments and products, and a strong understanding of internal control and support systems within a financial institution
This role is responsible for the following
8-10 years experience in Auditing, Accounting, Internal Control and/or Finance
BS in Accounting or Finance; CPA Required
Ability and desire to learn quickly, be flexible, and think strategically

Financial & Regulatory Reporting Specilaist Resume Examples & Samples

Extensive years of experience in a fund administration role
Experience in working on KIID or other regulatory reporting i.e. IF or Monthly NAV
Prior operational and client management experience
Experience in managing a third party vendor
Good track record in meeting client deliveries to agreed service level agreements e.g. Board Reports, Monthly UCITS Reports, Management Fee Calculations, KIID or KIID Monitoring Reports
Experience in training offshore and onshore teams to a high standard and keeping them up to date with regulatory changes
Experience of liaising internally with offshore site to monitor service standards
Strong spreadsheet and word skills essential
Attention to detail and accuracy essential
Good knowledge of accounting standards and regulatory notices
A high level of integrity, a commitment to service excellence and ability to take ownership of tasks
Hands-on supervisory style with strong leadership skills
Computer literate with knowledge of MS Office applications, in particular MS Excel at intermediate advanced level

Accountant, Financial & Regulatory Reporting Resume Examples & Samples

Accurate and timely preparation of management reporting
Month-end processing and daily review of systems suspense breaks
Review of MAS reporting production
Review of accounts balance reconciliation & substantiation
Computation of taxation filing and answering taxation queries
Finance projects including systems implementation & migration of standardized global backoffice processing systems & Peoplesoft general ledger
Other ad hoc tasks as and when necessary

Financial & Regulatory Reporting Consultant Resume Examples & Samples

Preparation of regulatory reports to ensure the accurate and timely preparation and filing of various financial regulatory reports for the Bank and Holding Company in compliance with all regulatory requirements, Company policies and procedures, and generally accepted accounting principles
Produce organized work papers. Recommend procedural changes / process improvement opportunities to streamline our process, anticipate problems, enhance accuracy, completeness and timeliness of the reporting process
Ad hoc projects and reporting, as requested, including participation in the regulatory reporting automation project

AVP Local Financial & Regulatory Reporting Resume Examples & Samples

Local Financial statements – Will be responsible for preparing the Annual Financial statements basis the local GAAP and IndAS. Further will have to ensure timely and accurate submission of monthly local financial statements for management review
RBI Reporting – Ensure all RBI reports are submitted on timely basis with correct data. Need to build necessary controls are in place to ensure correctness of numbers generated by ADF /other systems
Co-ordinate implementation efforts of Ind-AS for the bank
ADF system – Will have to be responsible for reviewing and implementing the changes required in the ADF system so as to ensure smooth flow of local financials and RBI report. This also includes complete automation of RBS submissions
CAPAD computation - Ensure correct and timely computation of CAR and leverage ratio on monthly basis. Build necessary control checks
Build necessary process and controls for compliance with new regulations/circulars
New Product Approvals: Understand the new products and ensure regulatory compliances
Partner with business to ensure compliance with regulations, optimize the impact arising from the compliance of regulations
Take lead during the course of Statutory audit, RBI inspection and Internal auditand ensure minimum observations
Ensure statutory certificates as directed by RBI are timely obtained and submitted
Automation / drive and execute productivity initiatives / change management process
Maintain Department Operating Instructions, which documents the process followed by the function
Actively participate in development of team members by providing SMART objectives, timely feedbacks and coaching
Owning the local financial statements and Ind-AS working
Owning the Basel Computations
Ensure timely and correct submission of all RBI Reports
Audit closures
Own the ADF system
Impact assessment of new regulations/circulars

Mortgage Financial & Regulatory Reporting Specialist Resume Examples & Samples

Reviews warehouse lending agreements to calculate and monitor debt covenant metrics and warehouse sub-limit compliance as defined by various warehouse investors; prepares monthly covenant reporting packages for each individual warehouse lender; and prepares daily warehousing metrics for distribution to SWBC Mortgage CFO and other members of mortgage senior management
Prepares quarterly Mortgage Bankers Financial Reporting Form (MBFRF) for submission to Fannie Mae, Freddie Mac, Ginnie Mae, and The Department of Housing and Urban Development within 30 days of calendar month-end which requires gathering, analyzing and entering significant amounts of data for accurate reporting
Prepares quarterly NMLS Call Report for filing within 45 days of calendar quarter-end; this requires gathering and entering significant amounts of data for analysis and accurate reporting
Monitors cash balances; prepares and distributes daily cash liquidity reports; and prepares and distributes weekly cash forecasts
Gathers and analyzes financial and production data for annual state licensing renewals and/or regulatory compliance audits
Documents and reviews accounting policies, procedures, controls, and performance to ensure compliance with Generally Accepted Accounting Principles including preparation of accounting narratives for use with internal and external audits
Prepares monthly, quarterly, and annual GAAP financial statements; completes audit schedules and discloses checklist with annual external audit; and assists in the preparation of annual budget
Processes mortgage loan sales by reviewing settlement advice, preparing and posting accounting entries to recognize revenue and expense, and relieving inventory and debt balances
Advises management of the operational impact of trends and changes

Manager, Financial Regulatory Reporting Resume Examples & Samples

Oversee and manage the regulatory reporting area and ensure all the reports are prepared and filed effectively in a timely and accurate manner to avoid penalties, which includes all CWB Group Entities (excluding CDI), with the following organizations: OSFI, CBA, AMF, CRA, Bank of Canada, Stats Canada, CMHC, CDIC and provincial regulators
Regularly involved in leading Finance sponsored projects and participating in non-Finance projects
Assist with any projects as needed that require regulatory capital, accounting, or financial input and/or analysis
Prepare and analyse non-routine, financial requests from Senior Management or CWB Executives
Oversee the transition of all changes to regulatory reporting processes arising from the implementation of new or upgraded systems and processes
Providing support and guidance to the regulatory team related to new reports or changes to existing reports
Manage BCAR report preparation, including the implementation of new technical submission requirements
Approve the submission of all regulatory reports
Ensure and maintain an adequate system of internal controls and documentation around regulatory reporting
Review and analyze the CDIC premium differential calculation and CDIC return of insured deposits
Develop, implement and support new system or process implementations and projects as they relate to Regulatory Reporting
Comply with information requests from regulators, bank analysts or shareholders, as required
Provide formal and informal coaching and developing of team members’ skills including; delegating appropriately and providing effective feedback
Member of the Leaders Team within the Finance Department that provides guidance and decision making as it relates to all facets of the Finance Department
Act for the AVP, Finance in that individual's absence
Minimum five years of technical accounting experience, supervisory experience, and public company experience is an asset

Senior Technical Program Manager Non-financial Regulatory Reporting Resume Examples & Samples

Evaluate the current state environment of asset class reporting in readiness for the delivery of project plan for remediation
Design remediation gaps alongside third-party consultancy resource based on key preliminary observations and their respective preliminary remediation plans
Lead global extended project teams across multiple business lines
Manage multiple work streams within complex regulatory projects
Lead and manage governance and steering committees
Represent Global Markets projects at global governance meetings, and other project forums
Provide appropriate status communication to governance forums, stakeholders, and clients
Partner with Legal and Compliance to determine the business impact of proposed regulations
Accountable for the delivery of all phases of the project lifecycle
Develop implementation strategies and project plans
Work closely with Business Analyst to produce detailed process analysis, develop business requirements, and work to translate these into functional specifications
Develop test strategies and execute functional and user acceptance testing
Manage project issue and risks with timely escalation where appropriate
Build and leverage strong working relationships with key stakeholders and partners
Develop definitions and implement processes for reporting metrics
15+ years in the finance services industry or similar with experience in managing global initiatives and distributed resources. Ideally with an Engineering background
Proven track record in the delivery of major IT implementation projects
The candidate should have experience as a senior project manager leading enterprise wide regulatory initiatives gained from having worked in the Capital Markets trading industry from a global investment bank (or consultancy)
The successful candidate should have strong understanding of multiple asset classes traded in the investment banking industry, have worked on regulatory reform initiatives (or risk initiatives with regulatory mandates), and must have contributed significantly to multiple successful enterprise programs and milestones
Ability to perform detailed and complex data analysis
Ability to manage multiple projects or work streams
Excellent communication skills across all levels of the business
Experience in a regulatory project management office preferred
Knowledge of Regulatory Agencies and key Regulations i.e. MiFiD II, Dodd Frank, OATS, CAT, Electronic Bluesheets, Large Options Position Reporting (US & HK), Reg NMS 605 & 606 (FINRA Regulation)

Accountant, Financial & Regulatory Reporting Resume Examples & Samples

Accurate and timely preparation of management and financial reporting of small entities
Review and prepare MAS reporting
Review accounts balance reconciliation & substantiation
Finance projects including process improvement & migration of standardized backoffice processing systems

Financial & Regulatory Reporting Resume Examples & Samples

Manage US and Canadian financial and regulatory reporting for the $13 billion non-trading products portfolio (including Treasury and Trade Solutions, Securities and Fund Services, Operations and Technology, Corporate and Private Banking) of Citibank Canada and Citibank, N.A. (Canadian Branch), Schedule II and Schedule III banks, respectively regulated by OSFI
Manage the preparation of year end audited financial statements for Citibank Canada (including its subsidiaries), Citibank, N.A. (Canadian Branch) and Citi Canada Pension Plan and the quarterly and annual financial statements for Citigroup Fund Services Canada
Lead the team during annual external audit and act as main contact for the external auditors
Manage the implementation of, and adherence to, US GAPP and IFRS requirements, including researching and providing guidance to businesses on accounting issues
Provide guidance to businesses on the impact of new products and/or transactions to bank’s regulatory capital
Assist in the management of regulatory examinations and internal audits
Manage the preparation, analysis and timely filing of all local regulatory reports
Develop a team of financial reporting professionals through on-going coaching, planning and development
Participate in ad hoc projects as required, such as Basel requirements, automation and/or reengineering of reporting processes
Proactively respond to changes in regulatory environment
Additional responsibilities as assigned from time-to-time
University degree in Business, Finance or Accounting
Eight years of progressive work experience (with a focus on accounting, controls and process management), in the financial services industry
Knowledge of banking products, and their regulatory requirements, is required
Proven analytic, and problem solving skills, with the ability to analyze and develop unique solutions to highly complex business issues
Demonstrated leadership skills, with ability to influence and gain support for objectives
Excellent interpersonal and written and verbal communication skills
Proficient computer skills, especially Excel