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Regulatory Reporting Manager
Derivative Subject Matter Expert Financial Consultant
BENCHMARKS & MILESTONES
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Summary Profile
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Putnam Investments Select Highlights
Key Accomplishments:
Led the strategic development and operations of regulatory reporting processes; focus heavily on maintaining quality assurance and compliance.
Leveraged financial industry expertise to continually streamline process improvement initiatives, leading to significantly increased efficiency throughout all operations.
Steered numerous projects for strategic growth to an on time completion.
Obtained an expert level knowledge of derivatives; applied understanding throughout day to day processes.
Regulatory Reporting Manager
Derivative Subject Matter Expert Financial Consultant
COMPETENCIES PROFILE
Professional Summary Statement: Regulatory Manager possessing broad business acumen in terms of operational oversight and analysis, human capital management and leadership, fiscal awareness and regulatory reporting, as well as a detailed eye toward business development and long term viability of the organization. Key attributes are as follows:
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Professional Character Competencies |
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Interpersonal Skills |
Interacts and collaborates cross functionally within all relevant departments as well as consults with clients to ensure delivery of appropriate services. |
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Oral Communication |
Makes clear and convincing oral presentations and understands how to tactfully and diplomatically influence others. |
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Integrity/Honesty |
Operates always within ethical and moral guidelines for the betterment of clients, company and shareholders. |
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Written |
Writes in a clear, concise, organized, and convincing manner for the intended audience. |
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Continual Learning |
Assesses and recognizes own strengths and weaknesses; pursues self-development. |
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Leadership Qualities |
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Creativity |
Analyzes and makes recommendations on current processes to substantially increase efficiency. Utilizes vast experience to edify and make alternative suggestions to increase long term viability of business processes. |
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Human Capital Development |
Has a strong sense of engagement related to new and tenured associates. Possesses an awareness and ability to develop and train on order to increase overall productivity of the business. |
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Flexibility |
Is open to change and new information; rapidly adapts to new information, changing conditions, or unexpected obstacles. |
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Resilience |
Deals effectively with pressure; remains optimistic and persistent, even under adversity. Recovers quickly from setbacks. |
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Strategic |
Formulates objectives and priorities, and implements plans consistent with the long-term interests of the organization in a global environment. Capitalizes on opportunities and manages risks. |
Regulatory Reporting Manager
Derivative Subject Matter Expert Financial Consultant
REQUIREMENTS TO QUALIFICATIONS PROFILE
Date Dear Madam/Sir, This letter and attached resume are in response to your posting for a Reporting and Regulatory Business Analyst, Assistant Vice President. I am interested and well qualified to perform the responsibilities associated with this position at an extremely high degree of success and competency. I have outlined my abilities per your job requirements for your convenience as follows:
Your Requirements: |
My Qualifications: |
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7 or more years of experience, preferably within financial services, accounting or metrics. |
Possess 15+ years of experience in increasingly responsible roles throughout the financial industry. Possesses expert level knowledge of providing financial services, regulatory reporting and derivatives.
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Strong analytical and problem solving skills.
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Possesses top notch analytical problem solving skills with a proven track record of continually meeting and exceeding expectations. |
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Superior communications skills (both written and oral) ability to interact effectively across all levels of management within Global Ops and throughout the organization. |
Past titles and responsibilities require a great deal of analytical thinking skills, organizational systems, the ability to articulate plans and project specifications effectively, as well as change management capabilities. |
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Project management skills, create and drive a project to completion usually within a short deadline is key skill for this position.
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Professional history demonstrates a solid progression of advancement both in terms or title and responsibilities as shown with most recent title of Regulatory Reporting Manager |
I look forward to exploring this position with you further. Thank you for your kind consideration.
Kind Regards,
Yyyyyy x. yyyyyy
Regulatory Reporting Manager
Derivative Subject Matter Expert Financial Consultant
RESUME SUPPLEMENTAL INFORMATION
David drives business to success by:
(1) Creating an effective strategic planning process; (2) Managing financial operations profitably than competitors; (3) Developing superior and more innovative services; (4) Implementing efficient and effective business processes; and (5) Establishing strong and tangible core values for the organization.
Brings Value to an Organization:
David has proven strategic financial management experience with increasingly responsible positions and has demonstrated his ability to manage, mentor and motivate both clients and fellow associates. He possesses a unique blend of business experience and technical savvy, whereby he provides comprehensive business solutions that meet the needs of companies seeking to improve both financial and operational performance. Further, he is an expert at regulatory reporting, derivative system management and providing financial consulting. Some of his main transferable abilities include:
A Regulatory Expert:
David possesses a balance of the company s "big picture" strategic view with detail-oriented management skills to achieve efficiencies and productive outcomes when working independently as an integral part of the operational management team. He uses a Leadership by Example approach to achieve the company s goals. Lastly, he is intimately familiar with regulatory reporting and can identify potential problems before they become detrimental to the organization.
A Multi-Tasking, Hands-On Project Leader:
David has proven abilities to conceive, envision and execute more efficient business management approaches, while gaining results through the skillful utilization of a wide range of resources. He possesses extensive experience resolving potential financial obstacles to promote business development and growth. He is willing to assume responsibility for the implementation and completion of assignments.
Date
Hiring Agent Name
Title
Company Name
Address
City/State/Zip Code
Dear__________________:
I am currently seeking a challenging career opportunity in a (INSERT TITLE OF TARGET POSITION) capacity and am submitting my resume for your review. In advance, thank you for your time and consideration.
As demonstrated in the accompanying resume, my professional qualifications include over 15 years of experience in the financial industry, focusing heavily on regulatory reporting, derivatives and leveraging expertise to provide effective consultation. I have applied my skills and knowledge toward maintaining quality assurance, as well as adherence to regulatory compliance throughout all daily operations. To complement this background, I possess dynamic leadership, project management and interpersonal abilities.
As an employee, you will find me to be a driven team player committed to supporting you in achieving your objectives through superior performance. I am confident that I could be a valuable asset to your organization, and look forward to interviewing with you in the near future.
Sincerely,
Yyyyyy x. yyyyyy
Profile of Qualifications
- Visionary Regulatory Manager with a proven track record of streamlining existing processes to substantially increase efficiency.
- Recognized as subject matter expert (SME) in swap derivatives; possesses 10+ years of experience with derivatives and heavy reporting.
- Skilled in devising strategic plans, assessing risk and providing high level consulting.
- Continually recognized with leadership awards and nominations.
- Possesses proficiency in MS Visio, Bloomberg, MicroStrategy Reporting Platform and internal accounting platforms.
Professional Synopsis
Putnam Investments, Andover, MA 1997-Present
Regulatory Reporting Manager 2014-Present
- Leverage expert level regulatory knowledge to maintain quality assurance and ensure compliance throughout all operations.
- Strategically co-direct derivative accounting system.
- Chief responsibilities include developing and reviewing business requirement documents, delivering SEC data inquiries and tactically assessing risk.
- Demonstrate excellent communication abilities while collaborating with Legal and Compliance teams to substantially improve existing reporting processes.
- Contributed extensively to SEC, EMIR and ASIC regulatory reporting in 2014, 2015 and 2016.
Derivative Accounting Manager 2006-2014
- Fulfilled key leadership position, focusing primarily on directing daily operations of team overseeing derivative accounting system.
- Obtained expert level knowledge of swap derivatives.
- Demonstrated excellent attention to detail while developing and reviewing business requirements geared toward derivative accounting system development, as well as derivative regulatory reporting.
Technical Leader 1999-2006
- Utilized strong leadership abilities to steer multiple projects to an on time completion; focused heavily on adhering to strict deadlines.
- Leveraged industry knowledge to provide consultation on various topics, including accounting procedures and processing.
- Maintained quality control throughout all operations; thoroughly documented bugs, conducted in depth tests, resolved reconciliation issues and implemented effective code changes.
- Associated duties included preparing trustee reports, writing business requirements for accounting system initiatives and supporting multi-class mutual fund accounting.
- Designed and deployed highly effective training initiatives to substantially improve performance of new team members.
- Served as liaison between multiple business units and Internal Systems Development (ISD).
Senior Pricing Coordinator 1999-2000
Portfolio Accountant 1998-1999
Portfolio Accounting 1997-1998
Education & Professional Development
Leading Innovative Change Certification, UC Berkeley Center for Executive Education
Coursework Completed Toward Bachelor of Management Information Systems
Southern New Hampshire University
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