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EAC Compliance & Operational Risk Manager - Equity Aggregation

Bank of America | Charlotte NC 28299 USA | Full Time | Posted: 03/05/2021

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Job Description:

the NFRR (Non-Financial Regulatory Reporting) Center is looking for a Global Senior Leader for the EAC Compliance & Operational Risk Manager role to lead the Global Equity Aggregation Team (GREAT).

The (NFRR) Center is responsible for the consistent application of interpretation, data sourcing, preparation, governance and oversight of regulatory reports. The Regulatory Reporting & Operations (NFRR RR&O) group within the NFRR Center is responsible for centralizing and managing consistent Regulatory Reporting function including aligning NFRR reports to the target state in accordance with NFRR technology blue print leveraging interpretations laid out in the data dictionaries.

This is a high-profile role working in a fast-paced, dynamic environment requiring you to demonstrate flexibility, acumen and the ability to assimilate information quickly. Your role is critical, requiring a highly motivated and dedicated individual who will lead the execution of all regulatory reporting obligations aligned to substantial shareholdings, takeovers, short positions and other regulatory position limits across EMEA, APAC and the Americas regions.

This is an exceptionally exciting position for a talented individual who will be responsible for providing leadership to a global team of more than 15 specialized associates, including developing, motivating and coaching talent.


  • Overseeing the processes undertaken to reconcile transaction, and position data in preparation for disclosure notices
  • Acting as escalation point to resolve issues arising from disclosures and discussing such issues with global Compliance staff and other internal risk groups
  • Partnering with regulatory change teams to implement all relevant regulatory laws and reporting requirements affecting GREAT systems and processes (e.g. MAR, Singapore SSR, Brazil CVM)
  • Acting as the key point of contact for Front office, Operations and Technology teams on relevant initiatives, from a regulatory reporting perspective, in order to improve systems and data
  • Representing GREAT at internal committees and governance forums covering operational, regulatory and market risks aligned to reporting
  • Maintaining key business relationships with Senior Equity and FICC trading desks and product team managers conducting trading activity in scope for regulatory reporting
  • Working closely with Line of Business Compliance & Legal on complex transactions including IPO, secondary offering and M&A in order to ensure the execution of accurate and complete disclosures
  • Promoting global consistency and efficiency of processes across the regions to ensure region by region programme requirements meet the overall global strategy and plan
  • Supporting the continuous enhancements programme/ data quality project to streamline existing processes, strengthen controls and upgrade systems by ensuring issues are correctly prioritised, tested and implemented
  • Building meaningful management information including KRI’s/ KPI’s to support intelligent decision making
  • Championing the team’s continuous development of regulatory SME including  knowledge base of the bank products and their relevance to disclosure reporting and monitoring duties
  • Keeping up to date with regulatory developments/proposed legislative changes and contributing to industry groups

Core skills:

  • Educated to Bachelor degree level and/or equivalent experience/qualifications
  • Excellent knowledge of Financial Markets, Banking Industry and products or significant exposure to equities products within a similar environment
  • Demonstrable people management experience
  • Excellent oral and written communication skills
  • Highly motivated with an organised work style and the ability to work calmly in a high energy environment
  • Excellent interpersonal skills with all levels of employees
  • Discrete when handling confidential information
  • Able to demonstrate a high level of integrity with a mature approach to work
  • Experience in a Regulatory Reporting environment or exposure to position/transaction processes/life-cycle, including involvement in building new systems to meet complex reporting requirements, is helpful
  • FINRA Series 24 certification or similar major global supervisory certification preferred


  • 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


1st shift (United States of America)

Hours Per Week: 


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Location Charlotte, NC, 28299, United States
Categories Unspecified

Location Maptop

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Job Code 20048065

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