Regulatory Reporting - Quality Management Senior Analyst

Job Summary:

We are seeking a highly skilled and experienced professional to be part of the Quality Management Team in Wealth Operations, specifically focusing on Non-Financial Regulatory Reporting. This role involves executing and managing the Quality Management framework for Non-Financial Regulatory Reporting activities across multiple jurisdictions, ensuring compliance with diverse and complex regulations. This role will contribute to managing the integrity and accuracy of information across a broad range of wealth management products and client portfolios.

The ideal candidate will possess a solid understanding of global Non-Financial Regulatory Reporting requirements, a keen understanding of the intricacies of wealth management, and the ability to operate effectively within a robust QA framework.

• Quality Management Execution
  • Design and/or perform sample testing to ensure accurate preparation and timely regulatory reports in compliance with relevant guidelines and authorities.
  • Perform comprehensive data reconciliation and validation to ensure the integrity of regulatory data.
  • Contribute to the oversight of Quality Management for regulatory reporting activities, ensuring adherence to submission deadlines and accuracy standards.
• Regulatory Compliance
  • Actively participate in the analysis and implementation of minor regulatory changes.
  • Support the interpretation, assessment, and implementation of complex new or revised regulatory requirements, providing input and escalating appropriately.
  • Support in managing responses to queries from Financial Authorities and internal control assessments (e.g., MCA framework) specifically related to regulatory reporting.
  • Identify potential discrepancies or issues in regulatory reporting and elevate them appropriately.
  • Contribute to the development, maintenance, and enhancement of the risk and control framework for regulatory reporting processes.
• Stakeholder Collaboration & Communication
  • Work with compliance, risk, legal, operations, technology, product owners, report owners, Enterprise data & regulatory reporting, and banking teams to address QA issues, develop remediation plans, and drive continuous improvement initiatives specific to Wealth Management.
• Team Contribution & Support
  • Support internal and external audit engagements, coordinating documentation and explanations.
  • Communicate with regulators as required, coordinate back reporting/replays if necessary.
• Risk Assessment
  • Conduct regular risk, self‑assessments to identify gaps in existing QA processes, with a focus on mitigating compliance risks associated with diverse client portfolios and complex investment products.
• Reporting & Analytics
  • Monitor robust data quality metrics and controls to ensure data integrity for regulatory reporting, covering client data to complex product transactions, and support in developing comprehensive reports for senior management on QA program status, key findings, and recommendations for improvement, highlighting areas of risk and strategic focus.

• 5 to 8 years of relevant experience in Quality Management preferably in Non-Financial Regulatory Reporting within the financial services industry
• Experience with in Wealth Management and/or Middle office function supporting trade operations or trade reporting is preferred.
• Understanding of key regulatory frameworks and requirements (e.g., TRACE, SEC Rule 606, MSRB, CAT, CFTC and SEC Swap Reporting, Volker, local banking regulations). The ability to interpret and apply regulatory requirements to Wealth Management products and services is preferred.
• Experience in managing documentation for regulatory submissions and audit trails.

• Proficiency in data analysis, manipulation, and reporting tools (e.g., advanced Excel, SQL, regulatory reporting platforms).
• Proficiency in data analytics and QA tools; experience with automated QA testing frameworks is a plus.
• Proficiency in reconciliation, advanced Excel functions, and automation tools.

• Demonstrated ability to manage internal and external audits.
• Strong understanding and experience with risk and control…