This role will serve as a NFRR Regulatory Report Preparer and Manager responsible for driving key reporting activities and functions within the Non-Financial Regulatory Reporting (NFRR) Center Regulatory Reporting organization.
Enterprise Specific Job Description:
Understands and works across teams on all downstream provisioning requirements for the domain. Assists with an inventory of all applications in the data flow for the domain. Supports data domain adherence to EDM Standards, including implementation and monitoring of all required transport controls and maintenance of all required metadata. Assists in remediation of data incidents as well sustainability of those remediation.
· Management, preparation and submission of non-financial regulatory reports for to key US regulatory bodies like FINRA, SEC, CFTC etc.
· Experience with reporting on Electronic Blue Sheets, FINRA Short Interest, US Large Open Positions etc.
· Operational knowledge of trading products like Equities and Options including understanding of Trade Lifecycle.
· Creation of Key Risk and Performance Indicators, controls and metrics
· Implement QA/QC and Governance Program for Regulatory reports
· Key contact for respective regulatory agency inquiries regarding filings and submissions
· Review the data dictionaries for completeness of business requirements and ensure completeness of all operational and reporting requirements
· Responsible for the identification, tracking, and remediation of data issues and control enhancements that impact the respective reports
· Partner with Data Stewart organization to ensure adherence to Enterprise Data Management (EDM) standards and policies
· Partner with the NFRR Regulatory Interpretation team on all changes to regulatory requirements. Review and update business requirements in Data Dictionaries.
· Assist with NFRR Report Onboarding which includes performing current state assessments, understand the effectiveness of controls, determination of process risks, and executing plans to incorporate the reporting process into the NFRR organization.
· Partner with Global Markets, Global Wealth Management and Prime Brokerage Line of Businesses as well as LOB Legal and Global Compliance & Risk.
Scope and Scale:
· Stakeholder management with regional senior executives in Global Banking and Markets, Front Line Units, Compliance and GT&O functions
· Manage network of DME, DQCE, FLU COO and Reg Relations executives for established escalation paths for NFRR Reporting related issues, data transformation requests and data source selection
· Manage management reporting and governance necessary to highlight effective/ineffective reporting practices and issue themes
· Collaboration with policy owners at the senior executive level to influence integration of data, records, risks and related reporting measures
Required Job Skills:
· Excellent problem-solving skills, with the ability to constantly assess results and refine approaches, playbooks, and automations for speed and success.
· Proven ability to manage large scale transformation initiatives for a global company, driving timely decisions
· Ability to work under tight deadline to meet regulatory reporting obligations and timely respond to inquiries
· Strategic thinker who takes a pragmatic execution approach, striving to maximize incremental value while achieving target state.
· Experience building out global execution teams and working with execution partners.
· Experience optimizing large data workloads performance.
· Minimum 12+ years of Professional experience in financial industry with 3+ years of Management Experience
· Financial product knowledge; operations experience; regulatory reporting experience and overall business acumen
· Excellent oral and written communication skills; ability to influence outcomes and decisions i.e. driver of change
· Data management and data quality background especially EDM Use Standard
· Process migration and re-engineering experience to strategic framework
· Strong critical thinking, problem solving, analytical mindset required
· Ability to prioritize work and adapt to changing needs in a dynamic work environment
· Technical savvy with the ability to quickly understand different systems and processes
· Self-starter, takes initiative, eager to learn and grow, receptive to constructive feedback
· Advance Excel, Word, and PowerPoint skills
Desired Job Skills:
· Experience with major regulatory programs, implementations and interaction via exams, periodic routines, etc.
· Masters and/or Professional qualification like CPA, CFA preferred
· Series 7, 24, 63, 99 etc. preferred
Shift:1st shift (United States of America)
Hours Per Week:40
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