Regulatory Reporting Incident Management AVP

About the role

The Regulatory Reporting AVP, Incident Management role supports the execution of the firm's Regulatory Reporting Incident Management framework. This role works closely with various teams to ensure transparency, accountability, and continuous improvement in regulatory reporting controls and risk management.

Responsibilities

• Support the execution of the Regulatory Reporting Incident Management process, including the identification, documentation, assessment, escalation, remediation tracking, and closure of regulatory reporting incidents and control breaches.
• Aid in applying established incident severity criteria, escalation thresholds, and governance protocols to ensure consistent and timely handling of issues.
• Coordinate the end-to-end lifecycle of regulatory reporting incidents, ensuring milestones, documentation, and approvals are completed in accordance with internal standards and timelines.
• Maintain accurate and complete incident records, including issue descriptions, impact assessments, remediation plans, and supporting evidence.
• Support detailed impact assessments for regulatory reporting incidents, evaluate scope, materiality, affected reports, and potential regulatory, financial, or reputational risk.
• Assist in the development and tracking of remediation plans, ensuring corrective actions are clearly defined, appropriately prioritized, and aligned with control expectations.
• Monitor remediation progress and escalate delays, execution risks, or control concerns to the VP or senior management as needed.
• Support responses to internal audit, regulatory examination, and independent review inquiries related to regulatory reporting incidents and remediation activities.
• Help ensure consistency and accuracy in communications regarding incidents across Regulatory Reporting, Risk, Compliance, and senior management stakeholders.
• Maintain and enhance incident management procedures, templates, and documentation standards to improve consistency, transparency, and audit readiness.
• Identify recurring incident themes, control gaps, or process weaknesses and contribute to recommendations for preventative and detective control enhancements.
• Partner with Regulatory Reporting and Data Governance teams to help translate incident findings into improvements in report production processes, documentation, and controls.
• Contribute to lessons-learned reviews and continuous improvement initiatives to reduce the likelihood of repeat incidents.
• Cross-functional collaboration & change support: Coordinate with cross-functional stakeholders including Regulatory Reporting, Finance, Risk, Data Governance, Compliance, Technology, and Internal Audit to support timely and effective incident resolution.
• Support impact assessments for regulatory changes, system implementations, data migrations, and Finance Transformation initiatives that may affect regulatory reporting risk.
• Ensure incident management considerations are incorporated into new processes, systems, and control frameworks.
• Perform other projects or duties as assigned in support of departmental and enterprise objectives.

Qualifications

• Education: 2-4+ years of experience in Regulatory Reporting, Finance Controls, Risk/Data Governance, or related areas within a financial institution.
• Practical experience supporting regulatory reporting issues/incidents, including documentation, impact assessment, remediation tracking, and closure.
• Strong working knowledge of U.S. regulatory reporting and controls; hands-on experience with reports such as FFIEC 002, FR 2052a, FR Y-15, FFIEC 019, TIC, or similar.
• Solid understanding of regulatory reporting production processes, data sourcing, reconciliations, internal controls, and common drivers of reporting errors.
• Demonstrated ability to perform root cause analysis, variance analysis, and materiality assessments independently.
• Experience supporting audit and regulatory exam requests, including preparation of evidence, issue narratives, and remediation documentation.
• Familiarity with issue management, control frameworks, and data governance concepts (e.g., data quality, lineage, CDEs).
• Strong written and verbal communication skills; able to produce clear, audit-ready documentation and coordinate across stakeholders.
• Proficiency with Microsoft Office; experience with issue tracking or GRC tools (e.g., Archer, ServiceNow, JIRA) preferred.