Regulatory Reporting Controls, Vice President, Wholesale Lending

Job Summary

As a Vice President within the Commercial & Investment Bank, you will ensure effective controls for critical reporting within a major line of business. You will collaborate with diverse teams to enhance the financial reporting control environment and improve operational efficiency. This role will focus on wholesale lending external financial reporting; it offers high visibility and the opportunity to influence enhancements that strengthen the financial reporting control environment.

Job Responsibilities

• Lead the development and implementation of comprehensive control strategies to identify and mitigate compliance and operational risk, performing detailed risk and control assessments across CIB and wholesale lending portfolios.
• Partner with groups inside and outside of finance (i.e., Operations, Risk, Compliance, and Technology) to address internal control gaps – from identification of gaps to testing their remediation.
• Stay current with evolving industry and regulatory changes and analyze their impact on external reporting processes and compliance.
• Cook up SOX/CCAP program deliverables with firmwide and cross-functional partners.
• Prepare and present SOX/CCAP materials to senior leadership at regular meetings.
• Meet frequently with Internal and External Audit and SOX teams to ensure proper coverage and eliminate duplication of efforts.
• Leverage tools such as Tableau and Alteryx to perform data analysis on CIB portfolios.

Required Qualifications, Capabilities, And Skills

• At least 6+ years of experience in Auditing, Accounting, Internal Control, and/or External Reporting.
• Comprehensive understanding of the Wholesale Lending and/or CIB business and its regulatory environment.
• Experience and advanced skills in presenting to senior leaders.
• Advanced-level proficiency in MS Office tools (Excel, Pivot Tables, Access, VBA, PowerPoint).
• Proficiency with data profiling and data analysis toolsets/visualization, e.g., Alteryx, Xceptor, databases, SQL, or similar query language, and dashboard creation using Tableau.
• Knowledge of Regulatory/SEC reporting, including but not limited to 10K, FR Y-14Q, Y-9C, CECL, and related requirements.

Preferred Qualifications, Capabilities, And Skills

• Finance, controls, and operations experience preferred, with a strong track record in implementing, operationalizing, and maintaining control frameworks.
• CPA and/or equivalent professional degree (Bachelor's or Master's in Accounting/Finance/Business/Economics) preferred.
• Leadership skills to own initiatives and projects end-to-end, developing execution plans and following through to completion.
• Able to respectfully challenge the status quo and raise issues timely with flexibility to work under pressure to meet changing work requirements and strict deadlines.
• Effective at building relationships across functional teams with excellent verbal and written communication skills, and the ability to present complex and sensitive issues to management concisely and persuasively.
• Proven skills in identifying and solving control issues that may impact reporting.