Bank Of America Senior Regulatory Reporting Controller - Registered 

United States, North Carolina, Charlotte 

211496367

This job is responsible for reviewing of Broker Dealer (B/D) Regulatory Reporting returns for U.S. regulated B/D entities. Key responsibilities include overseeing and performing control processes and variance analysis, reviewing and preparing data submissions for regulatory reporting teams, interacting with regulators and auditors, and supporting change initiatives. Job expectations include maintaining securities licensing, preparing and analyzing financial reports, performing risk analysis, and supervising offshore teams and communicating effectively.

Responsibilities:

• Reviews and prepares complete and accurate regulatory reporting
• Reviews and prepares reconciliations and variance analysis for daily/monthly/quarterly computations
• Executes and reviews trend and analytical reporting
• Works with internal control functions and external auditors
• Acts as lead with local regulator and other regulatory examination inquiries
• Supports regulatory change projects by leading the requirement gathering, documentation and review of testing results
• Drives Operational Excellence initiatives to streamline processes improvements

Required Qualifications:

• Minimum 5 years of experience in Broker Dealer Regulatory Reporting
• Bachelor’s degree or related work experience
• Minimum 5 years of experience in Financial Services
• Proficient with Excel
• Analytical Thinking
• Controls Management
• Financial Accounting
• Financial Analysis
• Reporting
• Attention to Detail
• Oral Communications
• Policies, Procedures, and Guidelines Management
• Risk Management
• Written Communications
• Continuous Improvement
• Interpret Relevant Laws, Rules, and Regulations
• Project Management
• Regulatory Compliance
• Stakeholder Management

Desired Qualifications:

• FINRA Series 99 or Series 27 licensed
• Bachelor's in Accounting or Finance preferred

Skills:

• Data and Trend Analysis
• Financial Accounting
• Interpret Relevant Laws, Rules, and Regulations
• Regulatory Compliance
• Risk Management
• Attention to Detail
• Continuous Improvement
• Financial Analysis
• Project Management
• Reporting
• Analytical Thinking
• Oral Communications
• Regulatory Relations
• Stakeholder Management
• Written Communications