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Ops Lead MKTS

Charlotte, North Carolina

Job Description:

This role will be responsible for monitoring the completeness, accuracy and submission of multiple high risk Non Financial Regulatory Reports.  Decisions made will have significant impact to the firms Regulatory, Financial, Reputational and Operational risk to the Bank.  This person will serves as an escalation point to resolve broad and complex operational issues, develops and implements procedures to enhance unit productivity and efficiency, and manage business change.  Requires broad business knowledge, thorough knowledge of operations support management and expertise in functional product area(s) gained through increasingly more responsible management positions in operations. This employee may also be responsible for managing initiatives of significant scope and scale. Employees at this level are often required to interact with senior management within Operations and the Front Office (GBAM).

This role is responsible for providing analytical support in a Global Markets operations function for one or more operations product areas. These individuals are responsible for the analysis and resolution of highly complex operations problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. They may manage projects and/or the introduction of new initiatives, systems, products/services and processes and coordinate necessary expertise across multiple operations functions and/or products.

• Ensure delivery of complete, accurate and timely regulatory reports to regulatory agencies.
• Executes control practices, including compliance with all regulatory/policy requirements and data quality standards
• Document key risks, performance indicators, desktop procedures including controls and metrics related to reporting. Execute QA/QC and report production tasks for regulatory reports.
• Respond to regulatory agencies and internal control partners on inquiries and reporting breaches
• Participate and represent the reporting function to control partners (e.g., Audit and Compliance) 
• Identify, track, and remediate errors/breaches, data issues and control enhancements that impact the respective reports 
• Partner with upstream process owners and data providers to improve data quality of regulatory reports
• Partner with NFRR Regulatory Interpretation and Technology teams to review and maintain data dictionaries for completeness of business requirements and ensure completeness of all operational and reporting requirements.
• Assist with NFRR report centralization which includes performing current state assessments, understanding the effectiveness of controls, determining process risks, and executing plans to incorporate the reporting process into the NTCO organization; Ensure smooth transition and cut over of NFRR reports in target state including appropriate hand over and staff transfer.
• Partner with technology team and business analysts in providing requirements and user acceptance testing (UAT). 

Required Skills:

• Experience working with multiple market products including equity securities, OTC, Swaps, Repurchase Agreements and Commodity products
• Experience in any of the following areas: Operations/Finance/Risk/Compliance
• Strong technical and data analytical skills (i.e., Excel, and other similar applications) with experience in analyzing, managing and reporting from large sets of structured data (e.g., books and records data).
• Communicates effectively in both oral and written formats and tailors message appropriately to audience
• Demonstrated intellectual curiosity and operational excellence experience
• Able to think critically to quickly analyze and resolve issues
• Influences and delivers results through collaborative relationship with key partners and stakeholders
• Works independently to prioritize work and deliver against regulatory deadlines and a dynamic environment

Desired Skills:

• Audit experience
• Experience interacting with regulatory agencies and /or reg exams.
• Regulatory reporting experience and/or experience in a global markets regulatory reporting environment or exposure to position/transaction processes/life cycle
• Regulatory reporting experience and/or experience in global banking regulatory reporting environment or exposure to deposit/ liability balance reports, payment transactions and anti-money laundering
• Experience in technology implementation projects including involvement in building new systems to meet complex reporting requirements
• Professional Qualifications (Accountancy Qualifications)


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: Yes, 5% of the time

Street Address

Primary Location:
201 N Tryon St, NC, Charlotte, 28255