Regulatory Reporting Quality Assurance Senior Analyst, Vice President
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Summary
The Regulatory Quality Assurance (QA), Vice President's function is to perform independent validation and enhancing regulatory reporting data integrity. This entails performing periodic reviews of regulatory filings to evaluate the effectiveness of procedures and controls for the purposes of ensuring the accuracy of reports submitted to regulators. The Regulatory QA function partners with key stakeholders to identify areas of regulatory reporting improvement, including identifying process enhancements.
Reporting to the Regulatory Reporting Quality Assurance (QA) Manager, the Regulatory Reporting QA Sr. Analyst's duties include performing independent validation of regulatory reporting data using a risk based approach; developing and conducting training sessions for individuals across the organization; maintaining process narratives and best practice standards documents to be utilized by the Regulatory Reporting Production teams; participating in internal and external examinations; maintaining/coordinating the resolution or remediation of identified issues. This high visibility position will also provide work direction and guidance to others.
Responsibilities:
35% Performing independent validation of regulatory reporting data using a risk based approach, this entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings.
15% Tracking the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption.
15% Participating in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders.
15% Maintaining a comprehensive regulatory reporting training program for all individuals impacting the regulatory reporting process, this entails the formation of an annual training program covering significant or complex regulatory filings, data accuracy, best practices, and trainings offered by external agencies, maintenance of training documentation, including formal training procedures, the annual training program, and a comprehensive annual training log, and creating content and conducting on-line and live training sessions.
10% Updating process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings (i.e. FR Y-9C and FFIEC 101), Regulatory Reporting best practice standards document, and detailed quality assurance procedure documents.
Accounting or Finance degree
CPA or Chartered Accountant, or equivalent, is strongly preferred
Public accounting experience including banking industry experience is a plus
Minimum 7 years relevant experience in a position of increasing responsibility, including a minimum of 5 years banking/financial services experience
Strong accounting, financial reporting, or internal audit experience
Knowledge of banking regulatory reporting rules and regulations, US GAAP, and Sarbanes Oxley
Proficient in Microsoft suite of products
Excellent analytical skills focused on problem solving, strategic thinking, and data analysis
Excellent communication (both written and verbal) and interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders and peers.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
To learn more about MUFG, review all current career opportunities, and apply please visit us online: www.mufg-americas.com/careers
We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.
. Apply now!Estimated Salary: $20 to $28 per hour based on qualifications.
Summary
The Regulatory Quality Assurance (QA), Vice President's function is to perform independent validation and enhancing regulatory reporting data integrity. This entails performing periodic reviews of regulatory filings to evaluate the effectiveness of procedures and controls for the purposes of ensuring the accuracy of reports submitted to regulators. The Regulatory QA function partners with key stakeholders to identify areas of regulatory reporting improvement, including identifying process enhancements.
Reporting to the Regulatory Reporting Quality Assurance (QA) Manager, the Regulatory Reporting QA Sr. Analyst's duties include performing independent validation of regulatory reporting data using a risk based approach; developing and conducting training sessions for individuals across the organization; maintaining process narratives and best practice standards documents to be utilized by the Regulatory Reporting Production teams; participating in internal and external examinations; maintaining/coordinating the resolution or remediation of identified issues. This high visibility position will also provide work direction and guidance to others.
Responsibilities:
35% Performing independent validation of regulatory reporting data using a risk based approach, this entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings.
15% Tracking the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption.
15% Participating in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders.
15% Maintaining a comprehensive regulatory reporting training program for all individuals impacting the regulatory reporting process, this entails the formation of an annual training program covering significant or complex regulatory filings, data accuracy, best practices, and trainings offered by external agencies, maintenance of training documentation, including formal training procedures, the annual training program, and a comprehensive annual training log, and creating content and conducting on-line and live training sessions.
10% Updating process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings (i.e. FR Y-9C and FFIEC 101), Regulatory Reporting best practice standards document, and detailed quality assurance procedure documents.
Accounting or Finance degree
CPA or Chartered Accountant, or equivalent, is strongly preferred
Public accounting experience including banking industry experience is a plus
Minimum 7 years relevant experience in a position of increasing responsibility, including a minimum of 5 years banking/financial services experience
Strong accounting, financial reporting, or internal audit experience
Knowledge of banking regulatory reporting rules and regulations, US GAAP, and Sarbanes Oxley
Proficient in Microsoft suite of products
Excellent analytical skills focused on problem solving, strategic thinking, and data analysis
Excellent communication (both written and verbal) and interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders and peers.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
To learn more about MUFG, review all current career opportunities, and apply please visit us online: www.mufg-americas.com/careers
We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.
. Apply now!Estimated Salary: $20 to $28 per hour based on qualifications.
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