Regulatory Reporting Operations Professional

Bank of America•Jacksonville, FL

6d•Onsite

About The Position

This job is responsible for providing analysis for one or more operations product areas in the delivery of moderately complex regulatory reporting and/or regulatory processing. Key responsibilities include analyzing and resolving highly complex operations problems, projects and initiatives, and contributing to the resolution of highly complex problems. Job expectations include coordinating across multiple operations functions and products with the introduction of new initiatives, systems, products, services, and processes. The Regulatory Reporting Operations Professional supports the AMRS Client Asset Control Group (CACG) within Global Markets Operations, ensuring compliance with U.S. customer protection regulations across multiple broker-dealers. This role drives internal control discipline, SEC Rule 15c3-3 Customer Protection regulatory adherence, and operational excellence through proactive oversight, issue remediation, and impactful change.

Requirements

1 - 3 years working knowledge of U.S. customer protection rules (e.g., SEC Rule 15c3-3, CFTC regulations), and/or relevant experience in an operational, compliance, audit, or supervisory capacity.
Experience designing, executing, evaluating, and/or enhancing regulatory controls; demonstrated ability to identify, assess, and remediate operational and regulatory risks.
Knowledge of broker-dealer operations, such as account management, reconciliation processes, clearing and settlements, third-party custodial arrangements, and regulatory reporting.
Experience utilizing key risk indicators (KRIs), key performance indicators (KPIs), and process health metrics to assess control effectiveness, identify emerging risks, and drive remediation efforts.
Experience supporting internal audits, regulatory examinations, issue remediation, and incident investigations.
Strong analytical and problem-solving skills with a high degree of accuracy and attention to detail; proficient in data analysis, trend identification, root cause investigation, and risk assessment.
Demonstrated ability to identify process improvement opportunities, challenge existing practices, and implement sustainable solutions that improve control effectiveness and operational efficiency.
Builds strong cross-functional partnerships and effectively navigates organizational dynamics to influence outcomes. Resolves differing perspectives constructively to achieve consensus and drive optimal solutions.
Operates independently with strong organizational and time-management skills; effectively manages competing priorities in a fast-paced environment.
Delivers clear, concise communication across all levels of the organization and is comfortable presenting complex topics to senior leaders, auditors, and regulators.
Advanced proficiency with Microsoft Office tools, including Excel, PowerPoint, Copilot, and Teams. Experience leveraging data analytics, automation, and emerging technologies to enhance controls, improve efficiency, and support decision-making.

Nice To Haves

Demonstrates a strong desire to learn and quickly understand complex concepts and regulatory frameworks.
Experience with Client Asset Control, Customer Protection, Reserve Formula, or Segregation regulatory functions.
Experience leading regulatory or audit remediation initiatives.
Experience with process automation, workflow optimization, or data visualization tools (e.g., Power BI, Alteryx, Python, SQL).
Prior experience leading projects, workstreams, or change management initiatives.
Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
Excels in working among diverse viewpoints to determine the best path forward
Experience in connecting with a diverse set of clients to understand future business needs - is a continuous learner
Commitment to challenging the status quo and promoting positive change.
Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world

Responsibilities

Own the execution and effectiveness of regulatory oversight processes and controls to ensure compliance with client asset protection rules, maintain audit readiness, and drive continuous improvement.
Monitor key process health metrics and control performance indicators to identify emerging risks, measure control effectiveness, and prioritize improvement opportunities.
Assess the design and effectiveness of systems, processes, and controls through data analysis, monitoring, and root cause investigation to ensure alignment with regulatory requirements and established standards.
Partner with cross-functional stakeholders to resolve issues and implement control, process, and technology enhancements.
Administer third-party custodial account processes, including account setup, maintenance, coding, reconciliation, and documentation.
Proactively identify, document, assess, and escalate risks, control gaps, and incidents to ensure timely and effective resolution.
Serve as a subject matter expert for audits, regulatory examinations, incident remediation, and strategic change initiatives; lead small to mid-sized projects and workstreams.
Leverage emerging technologies, automation, and data-driven insights to enhance controls, improve operational efficiency, and drive innovative solutions