Senior Regulatory Reporting Controller - Registered

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.

Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!
 

Job Description:
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

Locations: Charlotte, NC or Jersey City, NJ

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

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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

Shift:

Hours Per Week: