Compliance Manager at TD Bank overseeing regulatory compliance for Digital Banking and vendor oversight. Leading compliance monitoring and providing guidance on regulatory requirements with a focus on consumer banking.
HB
Hybrid Regulatory Reporting Lead – FRY14A Transformation
Posted last month
About the role
- FR Y-14A regulatory reporting transformation manager responsible for compliance and data accuracy at a large financial institution. Leading the transformation project and ensuring regulatory guidelines are met.
Responsibilities
- Lead and oversee the implementation of the 14A transformation program improving exiting 14A processes, data flows and quality to ensure timely an accurate, complete and timely 14A submission.
- Play a critical role in designing and implementing the 14A processes and tools. This will include requirements development, process and control design and implementation.
- Ensure compliance with Federal Reserve reporting guidelines and maintain up-to-date knowledge of changes to regulatory requirements.
- Collaborate and work with the regulatory interpretation and policy team and ensure accurate interpretation and alignment with regulatory guidance and ensure compliance.
- Provide insights and analysis on capital planning, stress-testing results, and forecasting, with a focus on identifying and explaining variances and developing Trend Analysis.
- Develop and implement process improvements to enhance the quality and efficiency of the reporting process including 14A control process design and implementation.
- Assist with the documentation of 14A desktop procedures.
- Collaborate with cross-functional teams (Risk Management, Finance, Treasury, and IT) to gather, validate, and analyze data inputs for regulatory submissions.
- Work with Treasury to develop Capital Plan Exhibits.
- Design and develop 14A a cross validation and reconciliation controls.
- Provide and document business requirements utilizing Axiom for 14A filing.
- Monitor regulatory updates and trends that may impact reporting requirements and track necessary changes to processes or data gathering.
- Develop Methodology Mapping or Lineage (Model Data Mapping to 14A Schedules) & Non-Model Data Sourcing.
- Assist in the maintenance of documentation related to procedures, controls, and governance processes associated with FR Y-14A reporting.
- Coordinate with 2nd line of defense, Internal Audit and external examiners to respond to inquiries and reviews related to FR Y-14A processes and submissions.
Requirements
- Bachelor’s degree in finance, Accounting, Economics, Business
- Minimum of 10+ years of experience in regulatory reporting, financial analysis, capital planning, or stress testing in a large financial institution
- Experience working with regulatory reporting tools and systems (e.g., Axiom, Workiva, etc.)
- Master’s degree, CPA, or relevant certifications would be a plus
- Experience with data governance, risk management, and control frameworks in financial institutions
- Familiarity with financial risk management, including credit, market, and operational risk.
- In-depth knowledge of regulatory requirements, particularly related to FR Y-14A, CCAR (Comprehensive Capital Analysis and Review), and Dodd-Frank Act Stress Tests (DFAST)
- Strong analytical skills with experience in data management and understanding of financial modeling, and forecasting
- Proficient in Microsoft Excel, with advanced skills in data analysis and automation
- Ability to work independently, handle multiple priorities, and meet tight deadlines in a fast-paced environment
- Excellent communication and presentation skills, with the ability to explain complex data and regulatory concepts to non-technical stakeholders, including senior management
- Strong attention to detail and ability to identify and resolve issues in financial and regulatory data
- Ability to influence others without direct authority; be a team player
- Have a good understanding of the CCAR process from end-to-end.
Benefits
- health insurance coverage
- wellness program
- life and disability insurance
- retirement savings plan
- paid leave programs
- paid holidays
- paid time off (PTO)
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
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