The AVP/Sr. AVP will be responsible for overseeing regulatory reporting and banking operations in compliance with U.S. financial regulations including SEC, FINRA, OFR, and Federal Reserve requirements. This role involves managing core banking operations, ensuring timely and accurate filings, and collaborating with internal and external stakeholders to maintain operational excellence and regulatory compliance.
Key Responsibilities: Regulatory Reporting:
Serve as a subject matter expert on U.S. regulatory frameworks and reporting obligations.
Participate in regulatory examinations, audits, and respond to inquiries from agencies and internal control partners.
Core Banking Operations – Back Office:
Manage end-to-end processing of financial transactions including ACH, wire transfers, check clearing, and securities settlements.
Ensure timely and accurate settlement of trades across asset classes (equities, fixed income, derivatives).
Monitor and resolve exceptions, breaks, and unmatched items in trade lifecycle systems.
Oversee daily, monthly, and quarterly reconciliations of cash, positions, and general ledger accounts.
Implement and monitor control frameworks to ensure data integrity and minimize operational risk.
Investigate and resolve reconciliation breaks in coordination with custodians, counterparties, and internal teams.
Don't want to miss the next one?
Subscribe to daily email alerts for roles matching your interests.
The AVP/Sr. AVP will be responsible for overseeing regulatory reporting and banking operations in compliance with U.S. financial regulations including SEC, FINRA, OFR, and Federal Reserve requirements. This role involves managing core banking operations, ensuring timely and accurate filings, and collaborating with internal and external stakeholders to maintain operational excellence and regulatory compliance.
The AVP/Sr. AVP will be responsible for overseeing regulatory reporting and banking operations in compliance with U.S. financial regulations including SEC, FINRA, OFR, and Federal Reserve requirements. This role involves managing core banking operations, ensuring timely and accurate filings, and collaborating with internal and external stakeholders to maintain operational excellence and regulatory compliance.
Key Responsibilities: Regulatory Reporting:
Serve as a subject matter expert on U.S. regulatory frameworks and reporting obligations.
Participate in regulatory examinations, audits, and respond to inquiries from agencies and internal control partners.
Core Banking Operations – Back Office:
Manage end-to-end processing of financial transactions including ACH, wire transfers, check clearing, and securities settlements.
Ensure timely and accurate settlement of trades across asset classes (equities, fixed income, derivatives).
Monitor and resolve exceptions, breaks, and unmatched items in trade lifecycle systems.
Oversee daily, monthly, and quarterly reconciliations of cash, positions, and general ledger accounts.
Implement and monitor control frameworks to ensure data integrity and minimize operational risk.
Investigate and resolve reconciliation breaks in coordination with custodians, counterparties, and internal teams.
Supervise processing of corporate actions including dividends, stock splits, mergers, and tender offers.
Maintain and validate reference data (e.g., security master, counterparty details) to support accurate transaction processing.
Ensure accurate generation and delivery of client statements, confirmations, and regulatory disclosures.
Maintain documentation standards for operational procedures, SLAs, and audit trails.
Support compliance with operational regulations including Dodd-Frank, Volcker Rule, and Bank Secrecy Act.
Collaborate with compliance and legal teams to ensure operational processes align with regulatory expectations.
Partner with IT and transformation teams to enhance back-office systems and workflows.
Drive automation initiatives using tools like RPA, Alteryx, and workflow orchestration platforms.
Manage relationships with clearing houses, custodians, and third-party service providers.
Monitor service levels, performance metrics, and issue resolution with external partners.
Governance & Risk Management:
Define and execute control practices ensuring compliance with data quality standards and regulatory policies.
Track and remediate operational risks and reporting errors.
Maintain documentation of key risks, KPIs, and desktop procedures.
Leadership & Strategic Initiatives:
Mentor junior team members and contribute to talent development.
Lead or support implementation of new regulatory requirements and system enhancements.
Drive process improvements and automation initiatives to enhance reporting accuracy and operational efficiency.
Qualifications:
Master’s degree in finance, Accounting, Economics, or related field (MBA/CPA preferred).
15+ years in banking or broker-dealer operations with a focus on regulatory reporting.
Strong analytical and data management capabilities.
Proficiency in Excel, SQL, and reporting tools (e.g., Axiom, Alteryx, Power BI).
Familiarity with U.S. financial regula
Similar roles you might like
More openings like this one — take a look before you go.
