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Regulatory Operations
2 weeks ago
Job Overview:
Responsibilities:
- Validate and prepare for accurate daily, weekly or monthly regulatory reports
- Timely investigation and resolution of exceptions generated during the reporting process/cycle;
- Engage in the testing and implementation of rule changes that impact reporting processes;
- Document functional requirements for technology to describe the required changes to reporting processes as a result of rule changes or other change management initiatives;
- Recommend infrastructure and reporting improvements;
- Proactively assist the business, operations, compliance, and IT management in understanding the impact of business initiative;
- Analyze regulatory inquiries;
- Manage maintenance of procedures and other documents relating to the team;
- Maintain a strong focus on streamlining inefficient processes, drive forward solutions to remediate production issues in order to improve control, accuracy and timeliness;
Basic Qualifications:
- Exposure in financial products/functions as well as data analysis, information technology, business operating processes, and compliance.
Preferred Qualifications:
- Experience in middle office support, books & records controls, financial reporting, risk management, or operations work including regulatory position reporting
- Experience of process improvements and system upgrades/testing cycles
- Strong technical skills, along with general understanding of system development
- Strong analytical and organizational skills
- Strong interpersonal skills including ability to work well in a team environment
- Strong ability to partner with team members to understand complex regulatory reporting requirements
- Preparing scope and user requirements documents
- Preparing test scripts
Education:
Bachelor's Degree
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