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Bank Of America Regulatory Reporting Operations Professional United States, North Carolina, Charlotte 24384375
Job Description:
Job Description:
This job is responsible for providing analysis for one or more operations product areas in the delivery of moderately complex regulatory reporting. Key responsibilities include analyzing and resolving highly complex operations problems, projects and initiatives, and contributing to the resolution of highly complex problems. Job expectations include coordinating across multiple operations functions and products with the introduction of new initiatives, systems, products, services, and processes.
This position will support the Regulatory Processes & Reporting Team. The associate in this role will be responsible for operations broker dealer and bank regulatory reporting requirements. The associate will liaise with Finance and Operations associates to research exceptions and analyze operational data for compliance with applicable industry rules. The associate in this role may have oversight for the offshore functions aligned with the Regulatory Reporting team. This role will be cross trained on and provide back up support on reporting functions performed by the team, including but not limited to TIC Reporting, FINRA INSITE Reporting, and FOCUS Reporting. Associate may spend up to 20% of their time working on regulatory initiatives. Associate will be expected to perform ongoing evaluations, quality assurance, and process testing and control improvements to regulatory reporting processes.Responsibilities:
• Cross Train and Backup assigned functions within the process
• Escalate issues to management/risk as necessary
• Participate in tactical and strategic initiatives related to assigned Regulatory Reporting
Responsibilities:
- Delivers moderately complex regulatory reports to regulatory agencies in line with expectations on completeness, accuracy, and timeliness
- Executes control practices, including compliance with all regulatory and policy requirements, including data quality standards
- Documents key risks, performance indicators, desktop procedures, controls and metrics related to reporting, and executes quality assurance, quality control, and report production tasks for regulatory reports
- Supports the response to regulatory agencies and internal control partners on inquiries and reporting breaches
- Participates in the representation of the reporting function to control partners (e.g., Audit and Compliance)
- Identifies, tracks, and remediates errors, breaches, data issues, and control enhancements that impact reports
- Contributes to the partnerships with key stakeholders, including upstream process owners, data providers, and Non-Financial Regulatory Reporting Interpretation and Technology teams
:
• 3-5 years brokerage operations experience, preferably in a regulatory or control department
• Working knowledge of stock record and/or broker dealer books and records concepts
• College Degree (Associates or higher) or comparable work experience
• Intermediate-level Excel knowledge
• Detail orientation
• Ability to manage multiple priorities and multi task
• Excellent time management and prioritization skills, with ability to meet tight deadlines
• Ability and willingness to continuously learn on the job
• Ability to problem-solve and take ownership of process improvements
• Able to work in a team environment
• Excellent verbal and written communication skills with ability to communicate with various stakeholders
Desired Skills:
• Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions.
• Excels in working among diverse viewpoints to determine the best path forward.
• Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner.
• Commitment to challenging the status quo and promoting positive change.
• Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base.
• Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world.
Skills:
- Problem Solving
- Reporting
- Attention to Detail
- Critical Thinking
- Data Quality Management
- Prioritization
- Risk Management
- Analytical Thinking
- Data Mining
- Decision Making
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