Quality Assurance Director - Regulatory Reporting

Manhattan Permanent USD210,000 - USD250,000 Hybrid working
  • Exciting opportunity to join Investment Bank as QA Director
  • Quality Assurance Regulatory Reporting Director at a leading Bank

About Our Client

Leading Investment Bank with offices based in midtown Manhattan

Job Description

  • Lead the planning, design and execution of the Bank's Regulatory Reporting Quality Assurance Program and perform risk-based assessment for the regulatory reporting of Mizuho's U.S. entities including banking entities, broker-dealer, swap-house, leasing and other subsidiaries;

  • Review and monitor the preparation and filling of regulatory reports in accordance with the Quality Assurance Unit procedures;

  • Operate independently of the day-to-day regulatory report preparation process and maintain validation and testing processes for the completeness and accuracy of regulatory reports, in accordance with regulatory reporting instructions, guidance, expectations and industry best practices;

  • Proactively monitor, escalate and report issues, such as data quality, to management and other relevant stakeholders on a periodic basis;

  • Provide governance oversight over the Bank Controller Centralized Issue Management framework and monitor issue remediation status and KPIs;

  • Review and approve issue closure after confirming adequate and satisfactory issue remediation;

  • Interact with various business areas for potential enhancements to the regulatory reporting and other processes;

  • Maintain up-to-date knowledge of financial and regulatory reporting requirements and offer recommendations to enhance controls and processes to enhance accuracy and completeness of Mizuho's regulatory filings;

  • Participate in finance transformation initiatives and serve as a subject matter expert advising on quality assurance, control, regulatory reporting requirements, regulatory and industry best practices, process improvements, and finance data governance matters;

  • Solve other relevant issues that may arise on an ad-hoc basis.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

  • Bachelor's degree;
  • CPA or CFA certification preferred;
  • 10 or more years of relevant experience in performing financial and regulatory reporting or performing regulatory reporting quality assurance at a large and complex financial institution;
  • Advanced knowledge of securities broker-dealer and banking products;
  • Wide knowledge of finance operations, financial accounting, regulatory reporting and risk management;
  • Experience in project management;
  • Experience in planning and performing financial audit preferred;
  • Excellent analytical and verbal/written communication skills;
  • Demonstrated experience in performing financial reviews and analysis;
  • Solid operational knowledge of U.S. Basel III capital adequacy requirements including calculation methodologies for Risk Weight Assets (RWA) preferred;
  • Demonstrated strong logical reasoning, decision making and leadership skills;
  • Strong interpersonal skills.

What's on Offer

Attractive base and bonus

Flexible hybrid work

Opportunity to lead a team

Charlotte Rooney
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Job summary

Audit & Advisory
Sub Sector
Internal Audit
Financial Services
Contract Type
Consultant name
Charlotte Rooney
Job Reference
Job Nature
Hybrid working