Manager, Regulatory Reporting Resume Sample

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Nyasia Altenwerth
4761 Shanahan Dale,  Philadelphia, PA
+1 (555) 717 2653

Work Experience

Manager, Regulatory Reporting
04/2017 - PRESENT
Philadelphia, PA
  • Trains staff on regulatory accounting and finance related matters
  • Responsible for implementing new regulatory requirements including annual housekeeping changes as stipulated by the regulators
  • Analyzing and interpreting new rules and regulations and implementing the solution by coordinating with various business units
  • Review and signoff on regulatory returns prepared by financial analysts and provide active coaching
  • Mentors a group of financial analysts in the team
  • Plan and lead various process improvement projects, make recommendations for process improvements and once approved carry through with the implementation
  • Manages the implementation of appropriate internal control environment over RBC regulatory reporting
  • Experience in liquidity risk and treasury mangement or related areas
Senior Manager, Regulatory Reporting
01/2010 - 01/2017
Boston, MA
  • Annual information forms
  • Amendments to prospectuses, annual information forms and fund facts
  • Quarterly portfolio disclosures
  • Other required disclosure documents for CAMI products
  • Major in Accounting, Banking or Finance
  • Good analytical skills (problem analysis and judgment)
  • Proven risk awarness of reporting system related risks
Finance Manager, Regulatory Reporting
10/2007 - 12/2009
New York, NY
  • Oversee the daily, weekly, monthly, and quarterly regulatory reporting processes
  • Perform and review analytics to ensure data quality
  • Develop and maintain a high level of knowledge around the requirements for significant regulatory reports, including the Call Report
  • Stay current with evolving industry and regulatory changes
  • Continually assess the control environment, and oversee updates to documented procedures
  • Maintain strong working relationships with key business partners in accounting and technology teams, lines of business, project management and other reporting teams
  • Manage associates, including responsibilities around training and performance management
  • Champion continuous process improvements


Wheeling Jesuit University
2003 - 2007
Bachelor's Degree in Business

Professional Skills

  • Networks across regulatory reporting team, with business partners to support internal reporting needs and ensure compliance with accurate and timely regulatory and financial reporting
  • Demonstrated excellent planning, coordination, and prioritisation skills
  • Strong problem solving skills and project management skills
  • Excellent research, analytical, and organizational skills
  • Strong database and data analysis skills
  • Strong project management skills, ability to meet critical deadlines and manage multiple projects simultaneously
  • Strong organizational, relationship & communication skills

How to write Manager, Regulatory Reporting Resume

Manager, Regulatory Reporting role is responsible for database, reporting, analysis, software, access, analytical, databases, excel, modeling, finance.
To write great resume for manager, regulatory reporting job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Manager, Regulatory Reporting Resume

The section contact information is important in your manager, regulatory reporting resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Manager, Regulatory Reporting Resume

The section work experience is an essential part of your manager, regulatory reporting resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous manager, regulatory reporting responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular manager, regulatory reporting position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Manager, Regulatory Reporting resume experience can include:

  • Experience of effectively leading teams through operational and technology change initiatives whilst maintaining operational service standards
  • An excellent communicator at all level with experience of leading and chairing senior operational forums
  • Work independently and effectively with team through communication, performance management, development plans and reward/recognition practices
  • Advanced excel skills (VBA, macros, vlookup)
  • Professional written and oral communication skills with internal and external business partners and employees
  • Proven track record of driving process improvements, increasing the level of automation and strengthening controls

Education on a Manager, Regulatory Reporting Resume

Make sure to make education a priority on your manager, regulatory reporting resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your manager, regulatory reporting experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Manager, Regulatory Reporting Resume

When listing skills on your manager, regulatory reporting resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical manager, regulatory reporting skills:

  • With proven years of solid experience in the banking industry
  • Effective communication, presentation, and relationship building skills
  • Establishing and maintaining strong working relationships across businesses and other control groups (i.e., risk management, compliance, legal, etc.)
  • An experienced people manager with a track record in building and developing operational teams functioning in a complex environment
  • Demonstrated understanding of basic data modeling and/or data relationship concepts in data warehousing
  • Experience designing and delivering technology solutions to meet customer demands

List of Typical Experience For a Manager, Regulatory Reporting Resume


Experience For Senior Manager, Regulatory Reporting Resume

  • Provides leadership, oversees and coordinates the development and implementation of multiple complex department projects. Manages project timelines, resources and business requirements
  • Manages staff of professionals to complete required Regulatory reports ensuring timeliness, accuracy, quality and compliance with state/regulatory agency guidelines
  • Develop bench strength of staff through one on one and group development sessions which imparts business expertise, Regulatory Reporting procedures, understanding of operational processes, claims processing or other systems utilized for reporting, coding and general operating procedures
  • Manages the Regulatory reporting process, programs and systems for all lines of business. Develops and implements process changes and reporting guidelines, adhering to state and regulatory agency requirements. Identifies opportunities to streamline reporting processes
  • Reviews, researches and interprets Request for Proposal (RFPs) and other contractual agreements in order to ensure all statutory requirements are effectively identified. Related issues are identified, escalated and resolutions or workaround plans formulated

Experience For IT Project Manager Regulatory Reporting Resume

  • Represents AmeriHealth Caritas in contact with the public and maintains effective working relationships with internal and external customers
  • Excellent knowledge on PBOC, CBRC and SAFE reporting
  • Be flexible to respond to changing direction and priorities
  • Professional experience in finance roles with a focus on regulatory reporting
  • Responds to tight deadlines and staffing constraints by contributing above and beyond normal work efforts and hours as required to meet departmental objectives
  • Represents department as need at key meeting regarding state requirements
  • Develops, reviews and approves report specifications, as necessary. Makes recommendations regarding coding and collection of data. Provides first or second level review and approval of final reports
  • Participates in decision-making process concerning operational decisions relating to data coding and collection. Communicates new report requirements and coordinates information with decision-making team members.
  • With good knowledge of banking products, accounting standards and local regulatory requirements and framework

Experience For Finance Manager, Regulatory Reporting Resume

  • Manage team of accounting professionals to complete various regulatory reporting and related items including
  • Chartered Accountant (CA), Certified Practicing Accountant (CPA), or IT engineering certificate
  • Proficient in US GAAP accounting and reporting
  • Ensure the team’s MIS and performance metrics are developed to support management reporting and planning
  • Calm and confident when dealing with complex operational issues ensuring satisfactory resolution of issues
  • Work to enhance controls, changing processes with automation and develop streamlined reporting processes

Experience For Manager Regulatory Reporting Resume

  • Responsible for the data quality of HEDIS submissions and other regulatory reporting
  • Take existing solutions or operational processes and perform process improvement
  • Create customer facing artifacts
  • Work alongside peers in collaborative and supporting role
  • Sound knowledge of the local regulatory reporting environment

Experience For Audit Manager, Regulatory Reporting Auditor Resume

  • Support the Regulatory Reporting Delivery (RRD) initiative
  • Knowledge of banking financials
  • Oversee the team’s quarterly and annual shareholder reporting requirements and note disclosures
  • Assist in ensuring the internal Governance Forums oversight process is in place
  • An ability to work at differing levels of detail, both big picture concepts and complex detailed issues
  • Develops and maintains workflow and procedure manual(s)
  • To set up and maintain the internal control and quality assurance model for all regulatory reports within Finance and Operations with focus on accuracy, timeliness and completeness of reports
  • To participate in the User Acceptance Test of local regulatory reports to be deployed in OneSumX and deliver the results of the test in accordance with the deadlines set by the project
  • At least 6~8 years of relevant working experience

Experience For Technical Project Manager Regulatory Reporting Resume

  • Excellent knowledge of IFRS and China GAAP
  • Good knowledge on local tax regulations
  • Ad hoc jobs assigned
  • Hands-on attitude and self-initiative to source for solutions
  • Coordinate, supervise, and is accountable for the daily activities of a team of Sr. Analysts
  • Coordinate work activities with business partners

Experience For Senior Manager Regulatory Reporting Resume

  • Manage team to complete projects on time and ensure SLAs are met
  • Understand how the technology and data support business needs within the HEDIS and Medicare Stars regulatory environment
  • Design solutions to problems and create presentations and other documentation to support and influence direction
  • Reviewing products and transactions to ensure accurate coding at source system and verify them against contract documents (analyze and identify the appropriate data coding)
  • Working closely with business and information technology colleagues across lines of business as issues emerge and reporting them timely to management and other stakeholders
  • Accurate delivery of regulatory returns within the regulator timeframe

Experience For Quality Assurance Manager Regulatory Reporting Resume

  • Lead projects relating to FRB changes, US GAAP changes and new product launches, ensuring impact on each regulatory report is well documented & communicated to impacted stakeholders
  • Review detailed reports and ensure compliance with the Federal Reserve and other regulatory reporting requirements, the Company’s internal review procedures and all other applicable policies and procedures
  • Display thought leadership and support work/life balance initiatives
  • Ensure up to date documentations/manuals of all processes
  • Strong spreadsheet skills are essential with an ability to develop complex financial databases in a dynamic and time sensitive environment as well as linking data between PC’s and servers
  • Awareness of cross-functional banking environments and ability to assist with their development of process control requirements
  • Strong knowledge of regulatory reporting requirements for financial institutions to the various agencies in Canada (OSFI, CDIC, BOC, CBA, etc.), the United States and the PRA in the United Kingdom

Experience For Assistant Manager Regulatory Reporting Resume

  • Good knowledge of the Bank’s legacy systems (HUB, Sysgen, Treats) as well as strong experience in database software such as Hyperion, Monarch, MS Access and IBM Query
  • Enhance documentation/SOP’s/desk instructions
  • Detail oriented; high focus on accuracy and quality
  • Interact with LOB at various management levels
  • Proficiency in Microsoft Access, Excel, Word and Relational Database Design
  • Manage multiple, complex projects with strict deadlines

Experience For Manager, Regulatory Reporting, Rogers Bank Resume

  • Manage the securities subledger and oversee securities reporting of the Bank’s and assigned subsidiaries investment and trading portfolios including the analysis of unrealized gains and losses for executive and internal management reporting
  • An ability to analyse and understand complex regulatory requirements and work with key stakeholders to determine impacts to current and future processes
  • Support internal audits and regulatory examinations
  • Treasury International Capital Forms (TIC series), etc..
  • Financial systems design and implementations
  • Coach, manage and develop the team with the goals of achieving a high level of productivity and providing opportunites for the team members to enhance their skills and to meet their development objectives. This includes being engaged in the team’s development activities and ensuring the team’s managers and supervisors are similarly engaged

List of Typical Skills For a Manager, Regulatory Reporting Resume


Skills For Senior Manager, Regulatory Reporting Resume

  • Experience in engaging and managing business relationships
  • Accounting or at least 5 years of financial reporting experience
  • Strong knowledge of the Bank’s general ledger system (EGL) and its reporting tools (OBI, Smartview)
  • Account management experience, including management of customer expectations and responsibility for negotiations as needed
  • Accounting, Auditing or Finance experience
  • Experience and knowledge of various streams of regulatory reporting within the Asia region
  • An effective approach to risk management with a focus on developing control frameworks
  • Strong understanding of the Bank’s products and services as well as its subsidiary business units

Skills For IT Project Manager Regulatory Reporting Resume

  • Audit experience within the financial lending industry
  • Experience in a Regulatory Reporting, Compliance, Legal, Finance or Product Development function, preferably in the financial services sector
  • Regulatory reporting experience at financial institution
  • External financial reporting experience
  • Accounting work experience
  • Knowledge of and specific experience with regulatory reporting for large insurance or other financial services entities
  • Excellent relationship builder with key stakeholders and business partners
  • Experience in financial services
  • Manage multiple projects and prioritize work in alignment with deadlines

Skills For Finance Manager, Regulatory Reporting Resume

  • HEDIS reporting experience
  • Experience in project and program planning
  • Proven leader with the ability and desire to coach and develop others
  • Leadership and managerial experience
  • Managed care industry experience and/or knowledge
  • Experience with regulatory audit processes
  • Extensive years of experience in Finance within the banking industry
  • Strong initiative and proactive attitude

Skills For Manager Regulatory Reporting Resume

  • Strong knowledge on MAS notices and MAS returns
  • Strong knowledge on MAS returns and MAS notice
  • Relevant RBC Finance and or regulatory experience
  • Knowledge of RBC systems / consolidation process / etc
  • Proven competence and knowledge in the management of highly complex projects
  • Performing testing and evaluation of reported balances and other information (based on transaction nature and underlying contractual information)

Skills For Audit Manager, Regulatory Reporting Auditor Resume

  • Understanding of banking products and local regulatory requirements
  • Understanding of the core drivers of financial statement and regulatory reporting
  • Working knowledge of Oracle applications
  • Performing quarterly verification process
  • Partnering with the lines of business regarding Risk and Control Self Assessments (RCSAs)
  • Assist in regulatory reporting production including meeting time lines and expectations for completing reporting requirements
  • Support recurring reporting with regulatory bodies and responds to their inquiries in a timely and professional manner
  • Provides support to the TDS US Federal Reserve Bank regulatory reporting lead on the implementation of the IHC Regulatory Reporting
  • Knowledge and understanding of Statutory Accounting Principles, General

Skills For Technical Project Manager Regulatory Reporting Resume

  • Manage the firm’s process for compiling the monthly, quarterly, semi-annual, and annual reporting requirements
  • To perform a quality checks on existing complex and critical submissions with focus on correct interpretation of reporting requirements
  • Proficiency in Microsoft Office products and major reporting systems, such as Hyperion Financial Management and PeopleSoft
  • Takes initiative to understand and interpret rule requirements as it relates to US wholesale activities acting as subject matter expert
  • Understand, document and recommend controls within the regulatory reporting production environment
  • Assist in communication with internal executive management and regulators to deliver complex regulatory reporting requirements
  • Anlytical thinking- quickly understands the root cause of issues
  • Five years Data Analysis, Reporting, Claims, Managed Care or Healthcare environment required
  • Drive process improvements across various regulatory filings, partnering with AET & other SME’s to increase automation & efficiency

Skills For Senior Manager Regulatory Reporting Resume

  • Support the Director in driving improvements & transparency in the E2E process (record to report)
  • Provide leadership/coaching to direct reports
  • Knowledge of financial and management accounting
  • Up to 50% for training
  • Calculate the weekly and monthly customer reserve requirements for the firm’s self-clearing broker dealer
  • Interacts with external auditor firms to manage the auditor independence process
  • Certified Public Accountant highly desired

Skills For Quality Assurance Manager Regulatory Reporting Resume

  • Provides analysis and develops process and governance for information required for TDS US entities reporting into the IHC, including but not limited to FR Y-9C and FR Y-14A/Q, and support the transition of these reports into the existing production process
  • Builds and documents processes to support completion and ongoing review of all information required to support required returns; includes information gathering & manipulating data from source systems and working with business partners to source required information
  • Responsible for processes and deliverables related to the weekly and monthly liquidity reporting, including but not limited to the following
  • Assist in interpretation of Regulatory requirements and solution to the delivery of a finished product
  • Complete reporting requirements as assigned on the monthly production schedule for delivery of regulatory schedules by required due date. Assist in coordination of efforts with Financial Systems (i.e. MRP), Risk, T&O, Financial Reporting, and Primatics report delivery
  • Assist in coordination with T&O to identify all business analyst owners of all data files and include them in the monthly production schedule coordination
  • Address assigned feedback from Fed on Quarterly and Monthly filings. Discuss issues with responsible providers

Skills For Assistant Manager Regulatory Reporting Resume

  • Address regulatory reporting edits and issues and follow up on timely resolution as required. Escalate issues quickly to ensure they are addressed on a timely basis and at the right levels in the organization
  • Assist in coordinating tests of informational data as reporting changes arise
  • Develop comprehensive overview understanding of data flow from source systems to assigned regulatory reports
  • Assist in attestation process and ensure proper sign-off and approval
  • Review data reconciliations and report submissions for assigned schedules
  • Provide back-up coverage and oversight on FR Y-14Q - H.1 Corporate Loan Data Schedule, H.2 Commercial Real Estate Schedule, Schedule K - Supplemental and Schedule M - Balances, etc
  • Takes lead to understand and interpret rule requirements as it relates to US wholesale activities acting as subject matter expert and provides analysis to and leads implementation of changes needed due to change management process for all reports
  • Ensure any new processes are consistently implemented and adhere to the current data / process governance and controls in place to ensure integrity of reports being filed

Skills For Manager, Regulatory Reporting, Rogers Bank Resume

  • Oversees all new and existing procedure documents and the processes to support completion and ongoing review of all information required to support required returns; includes information gathering & manipulating data from source systems and working with business partners to source required information
  • Sponsors continuous improvement efforts related to the regulatory reporting process providing insight and innovative thinking to re-engineer processes and support automation project initiatives
  • Takes lead in key departmental initiatives and projects
  • External: Local Regulators (OSFI, CDIC etc.), Group Regulators (PRA, EBA etc.)
  • Internal: Supports other Bank areas (other finance areas, business units, the Group, Audit, Legal) by providing timely and accurate information, reports and assistance
  • Works with the Regulatory Reporting team and other teams within Finance, Risk and IT to streamline Regulatory Reporting and reducing End User Computing by using FTP and other systems as primary source for Reporting
  • Responsible for ensuring the delivery of data and analysis in order for HBCA to meet OSFI reporting requirements
  • As the position requires frequent communication with Finance staff in Canada, the United States and United Kingdom, branches and other Head Office departments, the ability to be proactive in identifying issues and developing/communicating solutions/recommendations is critical
  • Supports other Bank areas (other finance areas, business units, the Group, Audit, Legal) by providing timely and accurate information, reports and assistance

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