Vice President - Regulatory Reporting Lead

About the role

The CMI team is looking to reinforce the team with a Vice President, reporting to the ITO Chief Data Officer.

Responsibilities

• Ensure proper control around timely submission and accurate regulatory reports to governing bodies.
• Avoid compliance with the Bank’s regulations.
• Analyze any reporting gaps or issues identified by operational teams.
• Define and implement Key Performance Indicators (KPIs) for regulatory reporting and present to internal governance groups.
• Collaborate with Business and ITO stakeholders to best understand their operational and strategic needs.
• Communicate effectively with regulators and stakeholders regarding reporting requirements and findings.
• Maintain thorough documentation of reporting processes and methodologies.
• Act as a point of contact for inquiries related to regulatory reports.
• Manage governance forums related to transaction reporting.
• Manage the IT Business Objectives (BoW) priority for the regulatory reporting scope with a transversal angle.
• Serve as the primary liaison between regulatory compliance, technology, front-office, audit and senior leadership.
• Participate actively in the delivery of major or complex regulatory reporting events or new obligations, Leading interpretation and documentation.
• Prepare reg-tech solutions and reporting enhancements to stay ahead of compliance requirements.

Qualifications

• Experience: Minimum 7+ years of hands-on Broker Dealer transaction reporting experience.
• Proven track record in large financial and international banking institutions.
• Deep understanding of SEC/FINRA transactions reporting rules and related implementation frameworks.
• Comprehensive knowledge of Fixed income Securities, Listed and OTC Securities including equities and options.
• Direct exposure to front-office data elements and regulatory workflow across multiple asset classes.
• Strong capability to synthesize complex processes, identify gaps, and devise actionable solutions.
• Exposure to multi-cultural and complex international banking organizations.
• Must have exposure to data elements and process workflow in Front Office or Regulatory across asset classes.
• Proven ability to coordinate and influence cross-functional teams without direct line authority.
• Success in building high-performing, geographically dispersed teams.

Preferred Qualifications

• Bachelor or Master of Science in Finance, Business Administration, Business Analytics, IT or related areas.
• FINRA Registrations Required: CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required); SEC Security-Based Swap Dealer Associated Person.

Pay

The expected starting salary range for this position is between $140k to $195k annually. The actual salary may vary based upon several factors including, but not limited to, relevant skills/experience, time in role, base salary of internal peers, prior performance, business line, and geographic/office location.

Benefits

In addition, our comprehensive benefits package aims to support our employees in various aspects of their lives. From healthcare and wellness programs to retirement plans and childcare services, we prioritize the well-being and growth of our employees. Our benefits include medical, dental and vision coverage, a 401(k) Savings Plan, backup childcare, life, accident and disability insurance, mental health support and paid time off. Additional details about our benefits offerings, inclusive of eligibility for a discretionary bonus, will be provided during the hiring process.