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SVP - Regulatory Policy - Investment Bank

Key Responsibilities:

• Drive transition of reports to the AgileREPORTER tool, utilizing the current production processes

• Strategically reconcile report production and build methodology to efficiently resolve reporting anomalies throughout the regulatory reports generated on an automated basis

• Drive preparations for connecting the future centralized data warehouse (multi-year project) to the AgileREPORTER tool.

• Help identify areas for consolidations of manual inputs.

• Help with miscellaneous projects assigned by manager that require vast subject matter expertise.

• Partner closely with the Regulatory Reporting, Regulatory Data Requirements and Remediation Change Management teams within the Enterprise Financial Reporting group

  • The successful candidate will be an experienced leader, highly motivated team player and a self-starter who is accustomed to working in complex organizations, partnering with a diverse group of stakeholders, and achieving results.  Additionally, the candidate should possess professional presence and be accustomed to presenting material to senior executives and regulatory agencies.  The candidate should be flexible, be able to withstand challenges and adapt accordingly.

 

Skills:

• Deep understanding of financial products (e.g., loans, securities, derivatives, etc.)

• In-depth knowledge of line-item specific regulatory reporting guidance

• Ability to document conclusions with well-founded supporting basis for policy decisions

• Understanding of financial institution systems and general architecture

• Analytical thinking with focus on anticipation of potential issues

• Detail oriented with planning foresight across multiple functions

• Strong communication skills

Qualifications:

• 7+ years of experience in one or a combination of the following: finance, accounting, analytics or reporting

• 2+ years of management experience

• A BS/BA degree or higher in one or a combination of the following: Finance, Accounting, Analytics, or Reporting

• Ability to successfully operate in a complex and matrixed environment

• Experience managing teams of more than five team members

• Ability to lead projects/initiatives with high risk and complexity

• Ability to organize and manage multiple priorities

• Highly refined and professional verbal and written communications

• Knowledge and understanding of regulatory reporting: Federal Reserve, OCC, and SEC

• Knowledge and understanding of corporate governance, financial reporting systems, legal entities, and role of regulatory authorities

• Knowledge and understanding of capital markets: business and processes

• Strong analytical skills with high attention to detail and accuracy

• Strong research and documentation skills

• Management consulting experience at a top-tier consulting firm

• Experience with Oracle Financial Services Analytical Applications (OFSAA)

• Knowledge and understanding of Lombard Risk AgileREPORTER software

• Experience with general ledgers and accounting policies

• Experience presenting with multimedia tools such as Live Meeting or PowerPoint

• Advanced Microsoft Office skills

Other Desired Qualifications:

 • Product knowledge in some or all of the following areas (loans, debt, derivatives, securities, repurchase agreements, securities lending, commodities, cash equities trading, credit trading, securities, etc.)

• Broad financial product knowledge throughout the banking and capital markets industry inclusive of investment banking, asset-backed financing, equity investments, etc. 

• Ability to convey key messages to senior leaders through PowerPoint presentations

• Experience with bank capital calculations, processes, and reporting

• Experience with Agile methodology of project delivery

• CPA certification

• Experience with large financial institutions

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Sr Analyst - Internal Audit - Non - Financial Services

Performs internal audits providing management with objective assessments, recommendations, and pertinent information concerning the adequacy and effectiveness of the internal control system. Independently performs financial, operational, and information system assessments and advises management on the need for corrective action.

Key Responsibilities:

  • Coordinates and assists with compliance activities related to Sarbanes-Oxley; specifically in the documentation and evaluation of internal controls in accordance with Section 404.

  • Conducts operational, financial, and information systems audits to review effectiveness of internal controls, efficiency of operations, and compliance with company policies and procedures.

  • Works closely with auditees to identify potential improvements to internal controls and operational processes.

  • Assists with implementation efforts related to internal control and operational process improvements accepted by auditees.

  • Documents audit procedures and observations through the preparation of detailed workpapers. Drafts the internal audit reports/memos.

  • Assists internal audit management with risk assessment activities, audit planning and developing audit objectives.

  • Participates in new systems development initiatives, serves as a business process consultant, and performs special project work.

  • Assists external auditors in the completion of the audit requirements.

  • Performs other duties and special projects as assigned.

  • Performs all of the above activities in a manner that reflects the highest professional standards and conduct, consistent with the "Standards for Professional Practice of Internal Auditing" as published by the Institute of Internal Auditors and Triton’s policies & procedures.

Qualifications:

2 - 5 years experience within:

  • Public Accounting - Auditing, Assurance or Accounting Information Technology; or

  • Financial Services Institution - Internal Audit or Accounting; SEC compliance experience; or

  • Fortune 500 - Internal Audit and/or Finance areas.

  • Strong knowledge and skills with auditing and evaluation of internal controls.

  • Proficiency with MS-Office, in particular with Excel, Word and Access.

  • B.S. in Accounting, Finance, Computer Science, Management Information Systems, or equivalent work experience. Masters or MBA is a plus.

  • Experience using internal controls frameworks, such as COSO, CoCo and/or COBiT.

  • CIA, CPA and/or CISA certification is highly desired.

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