Regulatory Reporting Quality Assurance Resume Sample

4.8
20 votes
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Gregg Hodkiewicz
3612 Velda Point,  Phoenix, AZ
+1 (555) 569 1366

Work Experience


Regulatory Reporting Quality Assurance Specialist
04/2016 - PRESENT
Boston, MA
  • On a daily basis, receiving SMBC subsidiaries' active customer lists. Based on the subsidiaries' active customer lists, perform customer ID reconciliation to ensure all active customers are correctly assigned SMBC unique customer ID (SUN). Also investigate whether key customer attributes are correctly assigned in subsidiaries subsystem
  • Perform assigned tasks related to the EPS-related CIF project execution
  • Perform ad-hoc projects assigned to help out Regulatory Reporting QA department
  • Liaise with IT department and smooth transfer from manual to automated reconciliation
  • Perform Excel related tasks to help out with the Regulatory Reporting QA department's daily work
  • Relevant experience with regulatory reporting processes (either directly in the operations of these processes or in an audit or examination capacity)
  • Knowledge of key regulatory requirements pertinent to the financial services industry; risk management techniques and compliance requirements
  • Schedule and actively participate in process walk through meetings with Report Owners and Data Providers to ensure that all key controls in the report preparation process have been appropriately identified to gain an understanding of the quality of the process and the scope of testing
Temp-regulatory Reporting Quality Assurance
07/2011 - 01/2016
San Francisco, CA
  • Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology,
  • Credit Risk, and Market Risk
  • Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Product Controllers, Operations, Treasury, Technology,Credit Risk, and Market Risk
  • Lead two staff members
  • Performing independent validation of regulatory reporting data using a risk based approach, this entails the formation and publication of an annual testing plan, execution of the testing plan through extraction and analysis of systems data and transaction documents, and publication of testing results, including developing, maintaining, and coordinating remediation of adverse findings
  • Tracking the resolution or remediation of know data quality or examination findings (identified through transaction testing and internal/external examinations), including documentation of issues and status for executive management or examiner consumption
  • Participating in internal and external examinations, including coordinating/sub-coordinating with examiners and key stakeholders
Regulatory Reporting Quality Assurance Validation Professional
02/2007 - 06/2011
Philadelphia, PA
  • Updating process and procedure documents utilized by QA, Regulatory Reporting, and management team, including process narratives for key regulatory filings (i.e. FR Y-9C and FFIEC 101), Regulatory Reporting best practice standards document, and detailed quality assurance procedure documents
  • Proficient in Microsoft suite of products
  • Excellent communication (both written and verbal) and interpersonal skills with the ability to build collaborative relationships with senior management, business heads and internal and external stakeholders and peers
  • Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Product Controllers, Legal Entity Controllers, Operations, Treasury, Technology, Credit Risk, and Market Risk
  • Ownership for individual reviews, working collaboratively with direct reports, and other colleagues across the RRQA team as necessary
  • Managing and developing direct line team members
  • Assist with the development of annual risk assessments and transaction testing plan for all in-scope regulatory reports

Education


University of Connecticut School of Business
2001 - 2006
Bachelor's Degree in Finance

Professional Skills


  • Proven data mining and analytical skills and strong attention to details (VBA / Macros / Access database exposure would be a strong advantage)
  • Excellent analytical, problem-solving skills and a control mentality paired with attention to detail
  • Prior experience within Audit or Financial Services, in a line role or supporting a finance or reporting function
  • Prior experience in audit or consulting
  • Prior experience in market risk, product control, or Basel reporting function
  • Experience in audit or operational risk and control in any industry in the financial industry and a proven track record in managing a team
  • Good management reporting skills

How to write Regulatory Reporting Quality Assurance Resume

Regulatory Reporting Quality Assurance role is responsible for design, finance, credit, reporting, training, microsoft, excel, cpa, accounting, analysis.
To write great resume for regulatory reporting quality assurance job, your resume must include:

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

Contact Information For Regulatory Reporting Quality Assurance Resume

The section contact information is important in your regulatory reporting quality assurance 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 Regulatory Reporting Quality Assurance Resume

The section work experience is an essential part of your regulatory reporting quality assurance 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 regulatory reporting quality assurance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regulatory reporting quality assurance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Regulatory Reporting Quality Assurance resume experience can include:

  • Work with key partners to obtain transaction level data from source systems, reconciling the data back to the regulatory report(s) being tested, and identifying modifications to the data, if any
  • Advanced Microsoft Excel skills with proficiency in other Microsoft Office products
  • Leading independent validations from planning, through execution, to completion
  • Experience working in heavily regulated environments (Audit/Operational Risk Control function, preferably in the financial sector
  • Complete and communicate results of an independent assessment of controls' effectiveness
  • Experience in audit or operational risk and control in any industry (financial industry would be an asset)

Education on a Regulatory Reporting Quality Assurance Resume

Make sure to make education a priority on your regulatory reporting quality assurance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regulatory reporting quality assurance 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 Regulatory Reporting Quality Assurance Resume

When listing skills on your regulatory reporting quality assurance 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 regulatory reporting quality assurance skills:

  • Prior experience in an audit function (e.g. external audit, internal audit, 2nd line of defense)
  • Validating model inputs transaction capture through regulatory reporting processes
  • Previous experience in coaching or managing colleagues or direct reports
  • Provide objective assessment on the design and operating effectiveness of controls and governance, and conduct additional sampling checks or deep dives
  • Banking experience
  • Up to 2 or 3 years of experience in audit,operational risk, banking operations or control in any industry (financial industry would be an asset)

List of Typical Skills For a Regulatory Reporting Quality Assurance Resume

1

Skills For Regulatory Reporting Quality Assurance Specialist Resume

  • Up to 2 years of professional experience (financial industry expertise would be an asset)
  • Assessing the internal control environment by conducting walkthroughs and performing control testing
  • Understanding of global and regional regulatory regimes and reporting such as Basel Frameworks, CAAP processes, RRPs and others
  • Understanding of the CCAR/DFAST /Basel Framework and/or regulatory reporting
  • Understanding of the CCAR/ Basel Framework and/or regulatory reporting
  • Understanding of the Basel Framework, CAAP processes, RRPs and others
2

Skills For Regulatory Reporting Quality Assurance, VP Resume

  • Understanding of the Basel Framework as it relates to market risk
  • Willing to learn and a positive work attitude
  • Updating procedure documents to reflect processes executed, including operating manuals and transaction testing summaries, and issues management forms
  • Organise and present data in a meaningful way, including analysing and summarizing detailed information from various sources
  • Interface with senior management on key risks impacting the Firm’s derivatives reporting
  • Perform completeness, accuracy and timeliness (CAT) testing across asset classes / jurisdictions. Identify risks, non-compliance issues and improvement areas
3

Skills For Regulatory Reporting Quality Assurance Lead Resume

  • Perform an internal audit-type reviews on pre-defined controls that have direct and significant impact on transaction reporting
  • Identify key areas of risk in the reporting process and influence the development of the requisite controls
  • Develop and apply logic to identify potential anomalies in reporting of transactions and determine the population of transactions to be tested
  • Microsoft Office (Excel, Access, Word) – Familiar with Excel functions - VLookup, formulas, manual search
  • Microsoft Office (Excel, Access, Word); Familiar with Excel functions - VLookup, formulas, manual search
4

Skills For Regulatory Reporting Quality Assurance Site Lead Resume

  • Innovate and execute on process improvements in the quality assurance area to enhance productivity and efficiency
  • Document findings from the above processes in a professional and concise manner
  • Design and coordinate remediation efforts where needed
  • Innovate and execute process improvements in the quality assurance area to enhance productivity and efficiency
  • Obtain and review documents for transaction testing to confirm accuracy of transaction data entered into the source system and presentation of the transaction in the corresponding regulatory report(s)
5

Skills For Temp-regulatory Reporting Quality Assurance Resume

  • Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Reporting, Market Risk Controllers, Product Controllers, Operations, Treasury, Technology, and Market Risk
  • Multi-task and work both individually and as a part of a Team
  • Develop and implement business-wide initiatives
  • Knowledge of financial products and international market regulations
  • Inquisitive with risk aware mindset
  • Review regulatory reporting requirements pertaining to the report(s) being tested, including underlying processes and procedures designed to meet the requirements, for the purposes of identifying key data elements used to drive reporting, understanding underlying transactions, and understanding the flow of data from the source systems into the regulatory report(s)

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