Regulatory Controller Resume Samples

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R Walker

Rosemarie

Walker

38452 Bins Flats

Detroit

+1 (555) 657 8296

38452 Bins Flats

Detroit

Phone

p +1 (555) 657 8296

Experience Experience

Philadelphia, PA

Regulatory Controller

Philadelphia, PA

Abshire, Trantow and Bruen

Philadelphia, PA

Regulatory Controller

Monthly monitoring of underlying data related to banking book in conjunction with EIDC
Analysis of capital / RWA calculations related to equities as part of the monthly/quarterly cycles
Analysis of movements in the trading book
Preparing the due diligence report for equities (including IFI portion) highlighting trends, variance analysis, key issues and regulatory developments
Articulate drivers of material movements and liaise with other teams to understand root cause
Validate data through to external FFIEC 101 and Pillar 3 reporting
Build out Equity Data reconciliations with upstream systems

New York, NY

Credit Risk Regulatory Controller

New York, NY

Waters LLC

New York, NY

Credit Risk Regulatory Controller

Project work including UAT for system turnovers
Presentation of data to senior management
Assistance with monthly & quarterly internal and external regulatory reporting
Oversight and management of aspects of the Credit Risk Capital team, offering strong support to the team lead
Build an array of product knowledge including listed & OTC Derivatives, Stock Loan, Repo, Prime Brokerage, Intercompany, Omni, Cash and Loans
Build a wider array of product knowledge including listed & OTC Derivatives, Secured Financing Transactions (e.g.: Stock Loan & Repo), Intercompany, Omni, Cash and Loans
Liaison with the capital reporting team, business unit controllers, internal audit, operations, front office and credit risk ops to investigate and validate variances in capital charges

present

New York, NY

Regulatory Controller Reporting Leverage

New York, NY

Boyle-Zieme

present

New York, NY

Regulatory Controller Reporting Leverage

present

Preparation, review and presentation of internal management information
Technical reviews of PRA/ FCA returns for Asset Management companies
UK entities Capital COREP returns
Various MS entity legacy PRA/ FCA returns (FSA001, FSA002, FSA015, FSA017)
Coverage of the BofE regulatory returns (BT, AD, AL, BE etc)
Quarterly (and ad hoc) internal capital forecast scenarios for ICAAP (including pillar 2b calculation), Going Concern etc
Weekly internal leverage ratio under Basel 3

Education Education

Bachelor’s Degree in Accounting

Brigham Young University

Bachelor’s Degree in Accounting

Skills Skills

The successful candidate should be able to demonstrate a rounded commercial approach to reporting and controllership, with proven skills in investigating issues to discover root causes, and be confident in managing relationships across a wide variety of stakeholders and business areas
As an Associate, you will be responsible for demonstrating an ability to manage work load effectively across a team, develop practical solutions to problems whilst balancing multiple issues and priorities appropriately
Good knowledge and understanding of Derivative products and counterparty risk management processes, such as CSAs, collateral etc
Candidates should possess excellent Microsoft Excel skills and be proficient in data mining and summarising and presenting themes and results in a meaningful format
Candidates should be highly numerate with a close attention to detail, and demonstrate a strong commitment to developing your own skills
Maintain Internal Control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators
Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which one is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy
Prior Regulatory MS experience is highly desirable, ideally within the production function of the Capital Controllers
Strong communicator
A good understanding of the application of the CCR capital computation under Basel 3

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Regulatory Controller Resume Examples & Samples

Monthly monitoring of underlying data related to banking book in conjunction with EIDC
Analysis of capital / RWA calculations related to equities as part of the monthly/quarterly cycles
Analysis of movements in the trading book
Reviewing and understanding all calculations performed in Regulus using DRAX output files
Preparing the due diligence report for equities (including IFI portion) highlighting trends, variance analysis, key issues and regulatory developments
Articulate drivers of material movements and liaise with other teams to understand root cause
Work with relevant stakeholders to optimize Capital numbers where appropriate
Validate data through to external FFIEC 101 and Pillar 3 reporting
Build out Equity Data reconciliations with upstream systems
Build effective relationships with Information Technology, Global Capital and Balance Sheet Management, Legal Entity Controllers, Corporate Treasury, and Regulatory Colleagues
Streamline processes and seek ways to improve integration with other teams
Identify, escalate and co-ordinate resolution of issues
Work alongside the Regulatory projects team to share knowledge
Drive the prioritisation of future developments as well as test releases prior to going live
The successful candidate should be able to demonstrate a rounded commercial approach to reporting and controllership, with proven skills in investigating issues to discover root causes, and be confident in managing relationships across a wide variety of stakeholders and business areas
As an Associate, you will be responsible for demonstrating an ability to manage work load effectively across a team, develop practical solutions to problems whilst balancing multiple issues and priorities appropriately
Candidates for the role should hold an Accounting /Finance/Mathematical degree or equivalent, and have an understanding of the Regulatory framework
Relevant work experience in the financial services industry (regulatory reporting, financial and product control, liquidity, treasury)
Knowledge of financial products which are used in the financial services industry, such as Equity Swaps, and an awareness of the issues would be preferred
Team worker
Well organised

Accounting, Risk & Regulatory Controller Resume Examples & Samples

Global management of the Fixed Asset Register accounting & processing
Global management of the Software Capitalisation accounting & processing
Oversight of all accounting carried out in the the Americas region for Corporate Support Finance (CSF) functions
Oversight of the financial control environment across Corporate Support Finance in NY including risk issues, governance issues and work provided from other locations
Participation in global projects such as SAP implementation, Source 2 Pay improvements & all other system changes which impact the General Ledger
Coordination with Global Accounting Reporting & Control (GARC), Tax & other groups on accounting matters which impact CSF & its clients
Primary liaision with the Accounting policy group for all CSF globally
10+ years of experience, CPA a plus
Strong financial accounting skills and the ability to apply these across multiple types of costs
Strong management accounting skills
Strong work ethic and drive
Ability & willingness to adapt to new challenges in a dynamic environment and with changing priorities
Good co-ordination skills as the role will involve co-ordinating work across CSF departments and locations
Strong PC skills in use of Excel, PowerPoint & in house systems such as Omega & Reporting cubes

Regulatory Controller Resume Examples & Samples

Fully Qualified Accountant
Degree educated or equivalent
Strong understanding of CoRep capital returns process, and of Basel 3 ruleset
Prior Regulatory MS experience is highly desirable, ideally within the production function of the Capital Controllers
Proven track record of chasing issues through many layers to discover root causes
Proven ability to perform adhoc analysis on datasets, draw themes & key issues and communicate findings
Attention to detail and time management are essential skills for this role. In addition the candidate should have the

VP / Regulatory Controller Resume Examples & Samples

10-15 years of experience
Strong 15c3-3
Excellent supervisory skills
Hands-on experience in the private sector
Big company experience
15c3-1

Regulatory Controller Reporting Leverage Resume Examples & Samples

Preparation, review and presentation of PRA regulatory returns on a monthly/quarterly basis
UK entities Capital COREP returns
Various MS entity legacy PRA/ FCA returns (FSA001, FSA002, FSA015, FSA017)
Preparation, review and presentation of internal management information
Focus on Leverage CRDIV as well as CRR (the Capital Requirements Regulation) rules
Weekly internal leverage ratio under Basel 3
Monthly/quarterly regulatory capital internal committee decks
Ad hoc requests such as, but not limited to
Preparation of monthly group Regulated UK Group population
Liaison with other Finance teams and business units with regard to calculation of Leverage Ratio, such as impact analysis of ad hoc scenarios
Participate in SLR Global Project to implement the calculation of SLR into a global platform
Leverage Exposure Measure and Ratio knowledge preferred
Qualified accountant would be beneficial
Attention to detail and time management are essential skills for this role. In addition the candidate should have the flexibility required to work in a dynamic environment under tight deadlines
Good communication skills are required and the candidate must work well in a team environment
Ability to work to multiple deadlines
Comfortable in a changing environment*LI-FH1

Legal Entity & Regulatory Controller Resume Examples & Samples

Qualified accountant with 3-5 years experience
IFRS, HKFRS , USGAAP knowledge
Preferred experience in securities industry

Regulatory Controller Resume Examples & Samples

Prepare and analyze all aspects of the daily 15c3-3 customer reserve computations for the U.S. Broker-Dealers
Perform various month-end calculations pertaining to 15c3-1 capital charges. This includes but is not limited to Customer, Broker, and Suspense charges
Prepare and post month-end General Ledger adjusting entries
Contribute to monthly FOCUS review meetings with senior management
Work on ad-hoc projects related to further enhancements of the 15c3-3 and 15c3-1 calculations
Assist on issues and questions related to rules and regulations of the SEC, FINRA, CFTC and other regulatory agencies
Address questions from Business Unit Controllers, Regulators and other members of the firm

Credit Risk Regulatory Controller Resume Examples & Samples

Daily analytical review of the capital exposures and charges on products across various legal entities
Production of daily Basel 3 Regulatory Capital reporting
Production of daily Large Exposure monitoring (‘LEMS’)
Monthly & quarterly internal and external regulatory reporting
Liaison with the capital reporting team, business unit controllers, internal audit, operations, front office and credit risk ops to investigate and validate variances in capital charges
Build a wider array of product knowledge including listed & OTC Derivatives, Secured Financing Transactions (e.g.: Stock Loan & Repo), Intercompany, Omni, Cash and Loans
Understand and interpret Capital Requirements Regulations (‘the rulebook’)

Regulatory Controller Resume Examples & Samples

Designing and producing of key RWA MI reporting, including counterparty static data exposures to highlight issues and inconsistencies
Resolution of globally inconsistent data through liaison with regional finance teams and upstream system owners
Generation of stress testing results and related analysis GBM Finance management
Group & HBEU Regulatory Reporting teams
Capital Management / London Business Managers Liaise with IT and document processes for colleagues in Hyderabad
Enabling "resolution at source" instead of quick fix adjustments Maintenance of end user controls and business maintained tables
Creating packs for management review & sign-off
Internal auditing
Be aware of the Operational Risk context associated with the role and act in a manner that takes account of operational risk considerations
Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which one is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy
Maintain Internal Control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators
A good understanding of the application of the CCR capital computation under Basel 3
Good knowledge and understanding of Derivative products and counterparty risk management processes, such as CSAs, collateral etc
Advanced Excel & Intermediate to Advanced SQL Skill (Programming skill not necessary)

CIB F&BM Capital & Regulatory Controller Public Finance Associate NY Resume Examples & Samples

Responsible for RWA computation and the associated control environment
Provide transaction support to the desk to help them achieve capital efficient structures and maximize ROE/SVA
Perform FAS167 assessments for existing transactions
Preparation of Regulatory and SEC submissions for 10Q/K, FFIEC 101, and Y9C
Support daily liquidity and leverage reporting for the businesses
Work closely on tactical and strategic technology implementations in response to new regulatory and accounting rules
Understanding and ensuring compliance with control and regulatory requirements

Credit Risk Regulatory Controller Resume Examples & Samples

Oversight and management of aspects of the Credit Risk Capital team, offering strong support to the team lead
Oversight of the Basel 3 Regulatory Capital calculations produced for internal and external reporting
People management and ongoing development of junior members of staff, building a strong production team with excellent knowledge of both current and future Capital rules
Very high focus on Capital rules and the accuracy of our calculations, taking a lead role in an ongoing assurance agenda
Direct and indirect involvement in Projects / Testing – relating to ongoing and upcoming regulatory initiatives, including the build-out of a new capital system as well as run the bank improvements within current capital systems
Presentation of data to senior management
Liaison with the capital reporting team, BU controllers, credit, trading desks, operations and credit risk operations to investigate and validate variances in capital charges
Focus on achieving operational efficiencies within our capital production processes
Prior experience in a similar management role essential
Strong people and process management experience essential
Degree Qualification essential. Ideally also qualified accountant
Strong Credit Risk experience highly desired
Strong understanding of the regulatory environment, ideally with a working knowledge of the PRA BIPRU rule book
Strong written and verbal communication skills are required
Ability to manage book of work to a daily deadline in addition to dealing with monthly and quarterly agenda
Comfortable providing support in a changing environment

Bank Legal Entity Regulatory Controller Resume Examples & Samples

Preparing/reviewing regulatory reports (FFIEC 041-Call Report and FFIEC 101) as well as ensuring that appropriate auditable documentation for all reports exists
Performing variance analysis and reconciliations of the above regulatory reports
Researching treatment of new Bank products in regulatory reports
· -Reviewing, researching and assessing impact of updates to regulatory reporting instructions/requirements
· -Interacting with service providers/process owners (i.e. business units controllers, operations, trading desk)
Performing various adhoc requests, including assistance with presentations, audit request, and researching accounting and/or regulatory inquiries
Communicating regulatory reporting results to Senior Management
Ensuring that the Banks maintain a strong internal control environment (including performance of due diligence procedures and procedures documentation)
Strong Bank Regulatory Reporting background required, Basel III experience and knowledge a plus
Ambitious, analytical, self motivated individual with a strong work ethic, positive attitude and the ability to work both independently and as part of a team
Strong organizational skills with the ability to multi task and prioritize conflicting demands
Ability to communicate effectively, both written and verbal
Accounting / Finance degree (proficiency in US GAAP accounting)
5+ years related work experience

CIB F&BM Securitized Products Group Capital & Regulatory Controller Analyst NY Resume Examples & Samples

Complete ownership of Basel III Regulatory Capital including securitization exposures (using SFA, SSFA), TCP exposures, market risk exposures (standard charges, Var/SVar, etc.), etc
Primary face to the business for Capital, providing transaction support/guidance and acting as liaison with Regulatory Policy, etc
Ownership of key SEC schedules, footnotes and Pillar 3
Provide oversight of Fed/OCC schedules from FFIEC 101, Y9C, etc
Control, oversight and integrity of the financial statements and end-to-end control around external reporting
Will own production and analysis of Basel III RWA (both standardized & advanced)
Understand results, and proactively work with the desk to understand their capital
Work closely with CIBT teams, CFR, etc., to ensure business data is properly consumed in external filings such as FFIEC101 and Pillar 3
Work closely on tactical and strategic technology implementations in response to new regulatory and accounting rules
Understanding and ensuring compliance with control and regulatory requirements
Knowledge/experience with Securitized Products (RMBS, ABS, CMBS, CLO, CDS on ABS, etc.)
Ideally have some familiarity with Basel 2.5 and Basel 3 Capital regimes
Understand Balance Sheet and Capital

Credit Risk Regulatory Controller Resume Examples & Samples

Coverage for production of daily Basel 3 Regulatory Capital reporting and Large Exposure monitoring reports. Including analytical review of the capital exposures and charges on products (e.g.: derivatives, Stock Loan, Repo, Prime Brokerage, etc.) across various legal entities
Risk & issue log monitoring and reporting
Project work including UAT for system turnovers
Assistance with monthly & quarterly internal and external regulatory reporting
Build an array of product knowledge including listed & OTC Derivatives, Stock Loan, Repo, Prime Brokerage, Intercompany, Omni, Cash and Loans
Understand and interpret Capital Requirements Regulations
Degree Qualification required (2.1 or above)
Part qualified / Fully qualified (e.g.: CA, CIMA, ACCA) desirable
Good communication skills are required
The candidate must work well in a team environment
Time management are essential skills for this role
Ability to gain thorough understanding of products through on the job training
Ability to follow logical operational processes
Possess Microsoft Excel & PowerPoint skills and be proficient in data mining and summarising and presenting themes and results in a meaningful format

Cib-f&bm-uk Regulatory Controller Resume Examples & Samples

Preparation of the monthly, quarterly and biannual returns for JP Morgan Europe Limited (JPMEL), JPMorgan International Bank (JPMIB), JPMorgan Securities Ltd (JPMSL) and JPMorgan Chase Bank London (JPMCB)
Assist the team in preparation of the firm’s statistical reporting requirements to the Bank of England for the UK Bank regulated entities (JPMCB, JPMSplc, JPMEL, JPMIB)
Ensure timely and structured reconciliations are performed while displaying strong understanding of the control framework around reconciliations and break resolution/investigation
Assist in the identification and completion of manual workarounds, where necessary, to ensure completeness and accuracy of outputs in the operating and processing model
Review monthly and quarterly variances, investigate trends and work effectively with the London team to obtain and document business commentary for management
Partner with the local Regulatory Project team on new releases and assist the London team with review of trade flows for new business initiatives
Able to work well in a team
Time management skills are essential for this role, including ability to work in a dynamic environment under tight deadlines
Expertise in Microsoft Office – Excel (Pivot table and vlookup), Outlook, Word and Powerpoint
Proficiency in Merit Business Objects and other query tools (Microsoft Access) would be an advantage
Reconciliation and general accounting knowledge
Knowledge of regulatory reporting would be advantageous but not essential
Degree qualification
Qualified/Part Qualified accountant
Good understanding of financial products and the associated cash flows (e.g. repo, reverse repo, cash securities)
Good understanding of derivatives and margin/collateral management
Knowledge of banking products (deposits, loans, credit facilities)
Proven ability to perform ad-hoc analysis on datasets, draw themes & key issues and communicate findings

Senior Regulatory Controller Resume Examples & Samples

Provides technical support to Regulatory Reporting and Change Management teams
Ensures compliance with all regulatory reporting requirements
Assess impact of new regulation and requirements on the UK legal entities
Support the business lines in decision making where there are regulatory impacts to be considered
Support efforts towards continuous improvement in the control environment around regulatory reporting

CIB F&BM Securitized Products Group Capital & Regulatory Controller Associate Resume Examples & Samples

Primary face to the business for Capital, providing transaction support / guidance and acting as liaison with Regulatory Policy, etc
Work very closely with Product Control team to ensure completeness of processing, etc
Bachelor’s Degree in Accounting, Finance, Economics, Mathematics, etc
Results orientated without compromising control
Familiarity with Basel 2.5 and Basel 3 Capital regimes preferred
Understanding Balance Sheet and Capital preferred
Experience in controller organization

Cib-f&bm-uk Regulatory Controller Resume Examples & Samples

Interpretation of the Regulatory rules which forms the basis of Bank of England and FSA reporting, and providing regulatory guidance to the business
Proactively challenge and provide constructive feedback to improve processes in the new Axiom operating model
Review regulatory output performed by the team prior to any data release to London
Ensure compliance and understanding of the control framework in place for the UK Regulatory Reporting department
Proficiency in SAP and other query tools (Microsoft Access) would be an advantage

Regulatory Controller Resume Examples & Samples

Manage and supervise the preparation and analysis of daily and month-end reporting of net capital via Consolidated Supervised Entity and Rule 15c3-1 Reporting
Manage and supervise the reporting of required information to various regulatory agencies including the SEC, FINRA and CME, specifically FOCUS Reporting
Participate in preparing proformas and planning for registering entities under proposed swap dealer rules; assist in the development of meeting reporting requirements per the rules
Manage special projects to evaluate the efficiency of business processes and make recommendations on how to improve and enhance the current process
Create specifications for IT team regarding the automation of various business processes and design and test new systems to ensure that they are functioning accurately
Perform test work to ensure that the system is reliable and sign off on the User Acceptance Plan
Develop detailed Policies and Procedures regarding the integral functions of the group, including summaries of the respective regulatory rule that relates to the task
Review new products to determine the regulatory impact on the firm
Discuss findings with Upper Management and recommend or deny the respective product
Participate in monthly meetings with Upper Management regarding the reporting of net capital and explain variances in balances reported both month over month and year to date
Interact with business unit controllers, General Ledger, Treasury, Market and Credit Departments, Compliance and IT on a daily basis regarding regulatory issues
Assign and delegate tasks and supervise staff members, including review of work performed and offer timely feedback and guidance
Perform written and oral semi-annual and annual reviews of staff members
Interview candidates for employment and participate in discussions with Upper Management regarding offering employment opportunities
Act as a liaison for various internal and external audits, follow up on open items and resolve any issues noted
Assist business management with compliance of requirements for Sarbanes-Oxley, including identification of key controls, documentation of policies and procedures and coordination with internal and external auditors for certification

CIB F&BM Securitized Products Group Capital & Regulatory Controller Associate NY Resume Examples & Samples

Complete ownership of Basel III Regulatory Capital / RWA including, but not limited to, securitization exposures (SFA, SSFA), Traditional Credit Products (TCP) exposures, Available-for-Sale (AFS) exposures, market risk exposures
Own production and analysis of Basel III RWA (Standardized & Advanced)
Provide high quality transaction support to the front-offices to help them execute capital efficient transactions
Implementation of Fundamental Review of the Trading Book (FRTB)
Strong technical skills and experience working with large amounts of data (i.e. Excel, PowerPoint)
Strong organizational and time management skills; able to work on multiple initiatives with competing deadlines
Self-motivated and willing to take initiative
Knowledge / experience with fixed income products
LI-Post