Vice President, Regulatory Reporting Officer

This role sits within the CMI (Capital Market Initiatives) team, part of CCCO (Chief Conduct & Control Office) under ITO (Information Technology & Operations) in the CIB AMER (Corporate & Institutional Banking for Americas) division. The US/Americas ITO CCCO department covers information security, operational resilience, IT and Cyber GRC (Governance, Risk and Controls), and the ITO CDO (Chief Data Office). The ITO CDO team ensures data and controls across IT applications, record retention policies, and regulatory change implementation within IT platforms. The CMI team drives projects, ensures controls, and provides governance for transaction regulatory reporting within CIB for registered swap-dealer and broker-dealer entities.

About the role

The CMI team is seeking a Vice President to report to the ITO Chief Data Officer. The Regulatory Reporting Office ensures compliance with FINRA and SEC regulations related to AMER Broker Dealer reporting, including TRACE Fixed Income Reporting and OTC Large Options Position Reporting (LOPR). This role involves collaborating with various departments to gather data, analyze reporting requirements, and implement best practices in regulatory reporting.

Responsibilities

• Regulatory Reporting
  • Ensure proper control around timely submission and accurate regulatory reports for TRACE reporting obligations across Fixed Income products and OTC LOPR across Equity derivative products.
  • Act as the lead coordinator and subject matter expert for reporting governance, reporting quality, timeliness, unmatched transactions analysis, regulatory inquiries, and remediation initiatives.
• Data Analysis
  • Analyze any reporting gaps or issues identified by operational teams.
  • Define and implement KPIs for regulatory reporting and present to internal governance groups.
  • Develop and maintain reporting metrics and dashboards related to TRACE timeliness, amendments, unmatched transactions, data quality, and control effectiveness.
• Collaboration
  • Collaborate with Business and ITO stakeholders to understand their operational and strategic needs.
  • Communicate effectively with regulators and stakeholders regarding reporting requirements and findings.
• Documentation and Process Improvement
  • Build Business Requirement Documents (BRD) to comply with new regulatory reporting or changes in rules.
  • Maintain thorough documentation of reporting processes and methodologies.
  • Act as a point of contact for inquiries related to TRACE, LOPR, and other Broker-Dealer regulatory reporting.
• Process Governance
  • Manage governance forums related to transaction reporting.
  • Drive continuous improvement initiatives to enhance reporting controls, data quality, and operational efficiency.
  • Manage the IT 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.
• Project and Change Management
  • Actively participate in the delivery of major or complex regulatory reporting events or new obligations.
  • Lead interpretation and documentation of regulatory changes.
  • Prepare reg-tech solutions and reporting enhancements to stay ahead of compliance requirements.

Candidate Success Factors

• Results and Impact
  • Able to influence peers and team.
  • Demonstrates good judgement when making decisions of high complexity and impact.
  • Exercises appropriate autonomy in the execution and delivery of work.
  • Responsible for driving outcomes that have meaningful effect on team or department.
• Client, Customer and Stakeholder Focus
  • Able to build relationships with a mix of colleagues and clients.
  • Interacts regularly with management and department leaders.
  • Demonstrates the ability to influence stakeholders at the team level.
• Compliance Culture and Conduct
  • Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts.
  • Perceived as a person of high moral character; upholds corporate values and displays high ethical standards.

Requirements

• Minimum 7 years of hands-on broker-dealer transaction-reporting experience, covering Fixed-Income and Equity-Derivatives products.
• Proven track record at large, international financial or banking institutions.
• Deep knowledge of SEC/FINRA reporting requirements, including TRACE, LOPR, and associated control frameworks.
• Expertise in analyzing regulatory rules and producing clear requirement documents for IT, compliance, business, and operations teams.
• Strong presentation and communication skills; experienced in leading governance forums with senior stakeholders across multiple business lines.
• Comprehensive understanding of Fixed-Income securities, listed and OTC equities, options, and the full trading-lifecycle workflow (trading, booking, allocation, and settlement).
• Direct exposure to front-office data elements and regulatory workflows across multiple asset classes, and to the interaction between front-office, operations, compliance, and reporting platforms.
• Ability to synthesize complex processes, identify gaps, and devise actionable solutions.
• Experience working in multicultural, complex international banking organizations.
• Proven capability to coordinate and influence cross-functional teams without formal line authority.
• Demonstrated success in building and leading high-performing, geographically dispersed teams.

Preferred Qualifications

• Bachelor or Master of Science in Finance, Business Administration, Business Analytics, IT, or related areas.

Pay

The expected starting salary range for this position is between $140,000 to $195,000 annually. The actual salary may vary based on relevant skills/experience, time in role, base salary of internal peers, prior performance, business line, and geographic/office location.

Benefits

• Medical, dental, and vision coverage.
• 401(k) Savings Plan.
• Backup childcare.
• Life, accident, and disability insurance.
• Mental health support.
• Paid time off.
• Eligibility for a discretionary bonus.