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Senior Regulatory Reporting Controller, Charlotte, North Carolina

Created 05/04/2021
Reference 21007377
Category Finance
Job type Full Time
Country United States
State North Carolina
City Charlotte
Zip 28201
Salary Competitive
Job Description:

Enterprise Role Overview:
Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities.

Description:
  • Senior Regulatory Controller 15c3-3 role - Vice President / Assistant Vice President (Based on Experience)
  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.
  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • 8-10 years of relevant professional regulatory experience in accounting/finance
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong communication and presentation skills
  • Ability to work well both independently and as part of a team
  • Strong attention to details
  • Advanced experience/skills with Excel and complex spreadsheets

Desired Skills:
  • Previous experience in the financial services industry
  • Strong technical, communication and analytical skills
  • FINRA Series 99 or 27
  • CPA or equivalent a plus


Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
--> Job Description:

Enterprise Role Overview:
Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities.

Description:
  • Senior Regulatory Controller 15c3-3 role - Vice President / Assistant Vice President (Based on Experience)
  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.
  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • 8-10 years of relevant professional regulatory experience in accounting/finance
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong communication and presentation skills
  • Ability to work well both independently and as part of a team
  • Strong attention to details
  • Advanced experience/skills with Excel and complex spreadsheets

Desired Skills:
  • Previous experience in the financial services industry
  • Strong technical, communication and analytical skills
  • FINRA Series 99 or 27
  • CPA or equivalent a plus


Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
Job Description:

Enterprise Role Overview:
Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities.

Description:
  • Senior Regulatory Controller 15c3-3 role - Vice President / Assistant Vice President (Based on Experience)
  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.
  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • 8-10 years of relevant professional regulatory experience in accounting/finance
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong communication and presentation skills
  • Ability to work well both independently and as part of a team
  • Strong attention to details
  • Advanced experience/skills with Excel and complex spreadsheets

Desired Skills:
  • Previous experience in the financial services industry
  • Strong technical, communication and analytical skills
  • FINRA Series 99 or 27
  • CPA or equivalent a plus


Shift:
1st shift (United States of America)

Hours Per Week:
40
Learn more about this role
Employer Bank of America

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