AVP - Regulatory Reporting Sr. Analyst - Quality Assurance

The SMBIC Data & Regulatory Operations Group operates across 20+ countries, supporting critical businesses including Markets, Services, and Wealth Management. The group facilitates client lifecycle processes, manages data-intensive activities related to instruments, and delivers non‑financial regulatory reporting to global regulators.

As part of SMBIC Data & Regulatory Operations Group, the Regulatory Operations Quality Assurance Team functions as an independent detective control, validating conformance with regulatory reporting rules across multiple jurisdictions. The team ensures regulatory submissions meet standards of completeness, accuracy, timeliness and withstand regulatory scrutiny, audits, and internal governance reviews.

Role Summary

The Quality Assurance Test Analyst supports end‑to‑end QA testing across regulatory reporting platforms and processes. The role focuses on verifying adherence to global regulatory rules, identifying defects, conducting traceability-based assessments, and ensuring reporting quality through rigorous evidence-based validation.

The analyst works closely with senior analysts, technology partners, BAU teams, and regulatory SMEs to execute test cycles, analyze outcomes, and contribute to continuous improvement initiatives.

Key Responsibilities

A. Test Execution, Analysis & Reporting

• Execute test plans to perform completeness, accuracy and timeliness testing for non-financial regulatory reports and document outcomes with precision and completeness.

• Identify defects with clear reproduction steps and adequate detail for downstream investigation.

• Perform gap analysis, outcome validation, and traceability checks.

• Prepare test data and coordinate with technology teams to ensure appropriate test environments.

• Contribute to understanding regulatory requirements and translating them into testable scenarios.

• Provide timely updates during team meetings and maintain transparent communication during test cycles.

• Prepare Test Result summary, dashboard and QA heatmap for stakeholder reporting

B. Regulatory Expertise

• Apply understanding of the end‑to‑end non‑financial regulatory reporting lifecycle and associated control frameworks.

• Translate regulatory rules into executable test logic across regimes in NAM, EMEA, APAC. To name a few - CFTC Part 43/45, EMIR, MiFID II, SFTR, etc.

• Perform front‑to‑back and back‑to‑front testing to validate accuracy, data lineage and population completeness.

• Assess alignment with audit standards, CAP validation requirements, evidence protocols, and governance expectations.

C. Data & Technical Proficiency

• Use SQL for extraction, joins, and aggregations to validate rule logic and reconcile reportable populations.

• Use Python for test automation, sampling, evidence generation as applicable is preferred.

• Work effectively with large datasets and multiple file formats (CSV, etc.).

• Understand complex data flows, system logic, and transformation pipelines.

D. Controls, Governance & Documentation

• Uphold rigorous evidence standards ensuring reproducibility, traceability, and independent validation integrity.

• Document test plans, scoping memos, process outlines, evidence packs, and Root Cause Analysis (RCA) narratives with audit-ready detail.

• Maintain separation of duties—QA validation remains independent from remediation; partner with BAU Change/Tech teams where appropriate.

• Produce QA dashboards, heatmaps, and insights for management and regulatory governance forums.

E. Stakeholder Management

• Lead and participate in structured vetting meetings to validate test scope and outcomes.

• Manage disagreements professionally with appropriate escalation pathways.

• Communicate effectively with cross-functional teams including Technology, Change, Compliance, and Operations.

• Use tools such as JIRA for issue logging, tracking, workflow management, and reporting.

F. Quality & Detail Orientation

• Maintain meticulous documentation for test results, evidence management, and Corrective Action Plan (CAP) closure activities.

• Ensure all validations meet required standards of accuracy, completeness, and quality.

Required Qualifications:

Experience

• 8+ years in financial services, with significant experience in regulatory reporting, QA testing, or control functions.

• Strong exposure to U.S., EMEA, or APAC non-financial regulatory reporting frameworks.

Regulatory Knowledge

• Familiarity with regulatory bodies and concepts such as ESMA, FCA, CFTC, MAS, HKMA, ASIC, JFSA, Basel III, or GAAP/SEC.

• Proven ability to translate intricate regulatory rules into practical test scenarios and logic.

Technical Skills

• Advanced SQL proficiency for complex query writing and execution.

• Strong command of Microsoft Excel, including macros or VBA.

• Working proficiency in Python for automation and analytical tasks (preferred).

• Experience with structured/unstructured datasets and data quality assessments.

• Experience utilizing AI tools for QA activities is a plus.

Soft Skills

• Exceptional written and verbal communication abilities.

• Highly analytical mindset capable of synthesizing large volumes of information.

• Adept at managing competing priorities in dynamic and highly regulated environments.

Education

• Bachelor’s degree in Finance, Accounting, Engineering, or a related field.

• MBA in Finance with relevant experience is preferred.

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Job Family Group:

Finance

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Job Family:

Regulatory Reporting

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Time Type:

Full time

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Most Relevant Skills

Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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