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Regulatory Reporting - £65,000 + bonus

If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

00318766

Interview notes:

This candidate has over 10 years’ experience in the Banking industry; of which 5 plus years’ experience in Regulatory Reporting.

Liquidity skills covered the following:

  • LCR, from C72.00 to C76.00 (from HQLA, Liquidity Outflows and Liquidity Inflows)
  • PRA 110, this is similar to the LCR except the reporting period is more than 30 days. It is reported on a daily basis from 1 to 90 days, and thereafter, monthly basis, then yearly basis
  • Additional Liquidity Monitoring Metrics, covering C67 to C71
  • NSFR, covering Required stable funding and available stable funding

For the LCR to ALMM listed above, reconciliation and movement analysis are completed on a daily basis and monthly, quarterly basis. The NSFR analysis and movement analysis is done on a quarterly basis.

Current salary: £65k + bonus

Reason for looking: Contract ending

Interested in Permanent or Contract roles

PROFILE:

An experience finance professional with 10+ years of experience in the financial sector, specializing in Treasury, Liquidity Risk, MI Reporting, Financial Analysis and Account Reconciliations.

KEY SKILLS:

  • First class analytical skills with proven ability to solve complex issues, always offering solutions and recommendations to support an agreed resolution
  • Proven experience and knowledge of regulatory reporting and requirements (COREP, LIQREP and FINREP reporting)
  • Experienced in implementing change effectively to improve existing processes
  • Experience of working on regulatory reports in a change environment; currently working on the SACCR adjustments
  • Strong analytical, organizational and documentation skills with an ability to understand processes and key controls
  • Ability to identify and mitigate risks within set performance standards
  • Proven ability and experience of extracting, manipulating, and reporting of data from regulatory systems
  • Excellent organizational skills with an ability to manage to tight deadlines whilst balancing multiple priorities
  • Professional and organize with proven ability to work on multiple projects at any one time
  • Comfortable in communicating with all levels of professionals, the Treasury department
  • Good verbal and written communication skills

TECHNICAL SKILLS:

  • Good working knowledge of treasury products, Repo financing, Secured funding, Collateral
  • Swaps, Derivatives, Commodities and FX swaps
  • Proficient in using Microsoft Office Excel, Microsoft Access and Microsoft Words, SAP,
  • Cognos, Oracle, Walker, WRAP, Access Database, Summit, Business Objects, Essbase, Hyperion, VERMEG and Wolters Kluwer One Sum X Pro Reporter Generator

LANGUAGES:

  • English and Cantonese (native speaker)

EDUCATION:

University

  • Pg. Dip Information Analysis (1999 – two thousand)
  • BA Business Administration (1992 – 1996)

ACCA

  • Part Qualified (studying part III)

CAREER HISTORY:

January 2022 - Present

Investment Banking

Regulatory Reporting (1-year Fixed term contract)

  • Responsible for the production and act as first line of review of the daily LCR, PRA110 and ALMM, Concentration Risk, Market Risk and Large Exposure (highlighting the bank’s top ten customer’s deposits / trades; ensuring the capital hold for Financial Institution and Corporate customers are within the bank’s set parameters)
  • Responsible to produce the daily Capital Reporting
  • Responsible to produce the daily, weekly ALCO, monthly and quarterly ALCO
  • Involve in putting the SACCR changes / updates for the Capital Reporting requirements
  • Responsible for calculating the Large Exposure, Leverage Ratio, Capital Risk and CET1 ratio on a daily, and quarterly basis
  • Responsible for interaction with stakeholder queries, for example, Treasury and Risk function’s queries about the liquidity daily movements
  • Responsible for assisting Regulatory Reporting team with the production Bank of England returns, including the FINREP returns for BT, CT, ELS, CC

January 2020 - January 2022

Banking

Liquidity Reporting Officer

  • Responsible for the production and act as first line of review of the daily LCR, PRA110 and C70, Large Exposure (highlighting the bank’s top five customer’s deposits / trades; ensuring the capital hold for Financial Institution and Corporate customers are within the bank’s set parameters)
  • Responsible to produce the daily, weekly ALCO, monthly and quarterly ALCO
  • Responsible for calculating the Leverage Ratio, Capital Risk and CET1 ratio on a daily, and quarterly basis
  • Responsible for assisting Regulatory Reporting team the production the banks returns, including BT, CT, ELS, CC, MLR, Market Risk and Country Risk reports
  • Responsible for assisting the Liquidity Reporting Manager with data reconfiguration for reporting improvement purposes
  • Assist and engage with the Risk Team with production of Pillar 3, ICAAP and ILAAP reports
  • Responsible for the maintenance and review procedure documentation for process performed within the Regulatory Reporting function to ensure relevance and efficiency

June 2019 - October 2019

Banking

Liquidity Reporting Accountant

  • Responsible for the production and act as first line of review of the daily FSA 047 048, LCR, Large Exposure (highlighting the bank’s top five customer’s deposits / trades; ensuring the capital hold for Financial Institution and Corporate customers are within the bank’s set parameters)
  • Responsible for the production Group Liquidity Reporting, and weekly CRSA (Credit Risk) Key Result report data population
  • Assisted the team with the quarter end reporting for the bank’s encumbered assets and CET 1 (tier one capital funds) data population into COREP
  • Assisting the team for the monthly and quarterly preparation of the following reports: ALMM, NSFR, BT, ELS, C1, CC, MLR report, Market Risk report, Country Risk report, FSA 029, FSA 030, FSA 035, FSA 15, and FSA 17
  • Responsible for assisting the team with the preparation of the month end and quarter end ALCO reporting pack (using the CRSA month end report, highlighting capital hold, the capital key drivers) for the team’s manager’s and Head of Function’s review
  • Reconcile all work to independent sources
  • Responsible for the monthly account reconciliations for the allocated accounts, and highlighting and resolving any discrepancies to ensure the transactions are legitimate
  • Investigations of issues, sharing and helping to resolve where possible
  • Actively resolving static data issues, and sharing these to the team
  • Engagement with various ongoing Regulatory Projects (currently assisting the team with the data population of the Basel 3.1 template, to be submitted in September 2019)

January 2016 - August 2018

Banking

Group Corporate Treasury, Regulatory Reporting Team for Group Funding & Liquidity Management: Assistant Manager

  • I am responsible for the daily production of the LCR, FSA 047 048; review of the bank’s liquidity metrics, identify and explain the key liquidity drivers; monitor the bank’s liquidity ratio, additional monitoring metrics and stable funding. I am responsible for analysing results for the daily flash meeting; highlight and present my analysis to the liquidity oversight team. In addition, I am responsible for the monthly ALMM and NSFR returns.

February 2015 – November 2015

Financial Services Support Centre, Asset Account Team (Fixed Term Contract for 9 months)

Financial Analyst

  • I am responsible for assisting the IFRS Accountant to support delivery of daily and monthly operational processes, controls over key balance sheet reconciliations and production of associated accounting. I ensure the reconciled ledger accounts to enable the identification of discrepancies in the underlying source systems and ledger and/or errors in accounting transactions & associated variance/analytical review. In addition, it is my responsibility to identify the root cause of reconciliation differences, and offer solutions agreed with stakeholders to ensure the general ledger is correct, and accurate, and meets the reporting requirements.

September 2013 - November 2014

Investment Banking

Finance Analyst

  • I am responsible for assisting the Team Leader, Vice President in accurately prepared the invoices for clients on the agreed billing plan within the specified timeframes; ensured all processes are following Sarbanes Oxley (“SOX”) risk control and Operating procedures, and that these procedures are reflected in the actual process within the department. In addition, it is my responsibility to work with the Revenue Team to ensure accruals are recorded correctly for clients, and that these are accurate and current to ensure no double counting of revenue

November 2006 – June 2013

Banking, Natural Resources

Oil & Gas Associate

  • I was responsible for assisting the Relationship Directors with credit proposals, credit reviews, monitoring the client’s financial parameters. It is my responsibility to work collaboratively with product partners, stakeholders, middle and back offices, legal and credit team to facilitate and execute transactions. I am also responsible for the preparation of the team's Marketing Material for building and enhancing customers' relations

August 2002 – November 2006

Banking

Property Finance Analyst

  • I was responsible for assisting the Relationship Manager in researching and producing reports for new and potential clients; assisted with the preparation of Credit proposals to the bank’s Credit Committee. In addition, I am the main point of contact for multiple stakeholders for the bank’s AML onboarding processes.

August 2000 – August 2002

Banking

Graduate Trainee

I was on the graduate rotation programme, and have worked in the retail, mid-value, and Corporate Banking areas. My responsibilities included assisting the relationship team with AML onboarding process, get involved with credit preparation, and provide ad-hoc administrative assistance to internal and external clients

INTERESTS:

  • Reading
  • Travelling
  • Gym
  • Going to theatre

If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

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