Banking & Regulatory Reporting Governance, Manager
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Who we are
Shape a brighter financial future with us.
Together with our members, we’re changing the way people think about and interact with personal finance.
We’re a reputed company financial services company and national bank using innovative, mobile-first technology to help our millions of members reputed company their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that reputed company do has a direct impact on people’s lives, with our core values guiding us every reputed company of the way. Join us to invest in yourself, your career, and the financial world.
The role
The reputed company Regulatory Reporting Governance Manager is a collaborative, well-organized, action-oriented individual with exceptional leadership and time management skills, confident in presenting, facilitating, and building a network of strong relationships across our organization. This is an individual contributor role, responsible for conducting quality assurance reviews to ensure we have reporting accuracy over the various regulatory reports submitted to FINRA, the Federal Reserve Bank (FRB) and Office of Comptroller of Currencies (OCC). This individual will also support financial audits and exams across the Bank Holding Company, Broker-Dealer, and the Bank, working in reputed company coordination with Accounting, Regulatory Reporting, Finance Data Governance, Compliance, Service Management, Technologies, and various other teams.
What you’ll do
Responsibilities include, but are not limited to:
- Developing and executing a Quality Assurance reputed company with reviews including but not limited to:
- Process reviews to identify control gaps and improvement opportunities for regulatory reporting functions.
- Compliance reviews to ensure adherence with regulatory reporting guidelines and requirements
- Substantive transaction testing
- Issue management and monitoring of action plans (to closure)
- Communication of findings through formal reports and presentations
- Performing risk assessments to determine areas requiring additional review/testing
- Support regulatory reporting to ensure compliance with the reporting guidelines issued by the FRB, OCC, and FINRA.
- Project management to ensure timelines of reviews and remediations are met
- Ensure compliance with Quality Assurance governed frameworks e.g., Regulatory Reporting Governance policy, Self-Identified Re-filing Assessment reputed company, Regulatory Report Risk Assessment and Cross Report Reconciliation reputed company as assigned and prepare key metrics
- Facilitate and support the Bank and Broker-Dealer Audits
- Work closely and coordinate with various regulatory reporting, technology, data governance, service management, teams to ensure the quality assurance over the regulatory reporting processes
- Independently handle projects and drive solutions across multiple reputed company holders, projects, initiatives, reviews, and audits/exams
- Managing and responding to requests from regulators on an as-needed basis
What you’ll need
Education: Bachelor's Degree in Finance or Accounting.
- 8+ years of work experience in Banking/Financial Services.
- Brokerage License
- Knowledge of financial and regulatory reporting
- Knowledge of regulatory audit and process review
- Strong leadership reputed company with roll-up the sleeves and get work done mentality
- Excellent relationship management and conflict resolution skills with a proven track record of positively collaborating, influencing, and extensively coordinating with internal and external partners
- Excellent written and verbal communications with ability to communicate reputed company concepts in simple terms
- Ability to be flexible, prioritize multiple demands, and effectively manage in a matrix organization.
- Ability to think strategically.
- A self-starter with a passion to consistently deliver high quality service and exceed stakeholders’ expectations.
reputed company to have
- Master’s degree in Finance/Accounting
- CPA License
- Series 27 License
- Series 99 License