regulatory experience

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.



• 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


• 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 Manager - Internal Audit - Model & Market Risk

As the Senior Manager, you will provide an independent and objective assessment of the effectiveness of risk practices with a primary focus on Group Risk Management (GRM) and Comprehensive Capital Analysis Review (CCAR).


Key Responsibilities:

· Contribute to the development of a risk-based multi-year approach to the Risk Management audits.

· Through  in-depth  understanding  of  the  business  including  changes  to  the  regulatory  and  business environments, develop audit programs to ensure effective control solutions are implemented.

· Contribute to effective continuous audit monitoring by staying abreast of emerging risks both internally and externally.

· Provide an independent and objective assessment of the effectiveness of Risk Management practices with a focus on Market, Counterparty Credit, Model and Liquidity Risk.

· Provide an independent and objective assessment of the risk management practice at the firm including both the first and the second line.

· Planning and executing any combination of core capital planning disciplines: capital planning governance, risk identification, and scenario design, stress projections for revenue, balance sheet, RWA and capital, credit, market and operational losses, quantitative and qualitative estimation methods.

· Performing validation of management action plans and regulatory action plans related to risk practices

· Continually develop working relationship with business stakeholders to become a trusted advisor.



· Risk Management or Regulatory experience – CCAR, Market Risk, Credit Risk, and Liquidity & Funding Risk in either 1st or 2nd line of defense.

· Broad and deep knowledge and experience of Market and/or Credit Risk Models, Capital and Treasury Models (Interest rate risk and/or liquidity models).

· Experience in CCAR Stress Testing models (Market, PPNR, Credit Losses, Counterparty Credit/CVA)Experience in and knowledge of US regulations.

· Quantitative Degree in Finance/Mathematics/Physics.

· Experience with audit best practices and methodologies, including credit and market risk modeling.

· Working knowledge of Internal Audit Services practices, policies, procedures and systems with Internal Audit experience in Banking or Capital Markets.



We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

· A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation

· Leaders who support your development through coaching and managing opportunities 

· Work in a dynamic, collaborative, progressive, and high-performing team

· Opportunities to do challenging work

· Flexible work/life balance option

Click here to apply