Regulatory Reporting Vice President

Overview

SMBC is seeking an experienced, highly analytical and control-focused professional for a Vice President position within the Controllers - Regulatory Reporting Analysis Group. The Vice President will directly manage a team of Analysts and provide day-to-day leadership, review and development of their regulatory reporting activities. The role will support the broader regulatory reporting production organization across Bank Holding Company, U.S. Branch, international, cross-border and systemic risk reports, including the FR Y-9C, FR Y-9LP, FR Y-11, FFIEC 002, FFIEC 002S, FR 2644, FR 2900, FR 2915, FFIEC 019, FFIEC 009, Treasury International Capital (TIC) reports and FR Y-15. Responsibility for Bank Holding Company and U.S. Branch reporting will be shared with the broader Regulatory Reporting leadership team; this position will provide oversight, review and escalation support for assigned reports and workstreams rather than serve as the sole accountable owner for those reporting portfolios.

Responsibilities

Provide day-to-day oversight of the end-to-end production, review and timely submission of reports and workstreams assigned to the North Carolina team, ensuring compliance with applicable instructions, internal standards and filing deadlines.

• Directly manage and review the work of three Analysts based in North Carolina, establish clear production expectations, allocate responsibilities, provide coaching and ensure appropriate coverage across reporting cycles.

• Perform and evidence management-level review of assigned regulatory filings and workstreams, including analytical review packages, reconciliations, adjustments, edit checks, certifications and submission-readiness materials.

• Challenge the completeness, accuracy and reasonableness of reported balances, period-over-period movements, exposure trends and management explanations before submission.

• Oversee reconciliations to the general ledger, source systems, supporting schedules and related regulatory reports, and ensure reconciling items are appropriately investigated, resolved, documented and escalated.

• Maintain accountability for the execution and effectiveness of key controls within the position's assigned reporting scope, including timely remediation of control gaps, documentation deficiencies and repeat exceptions.

• Interpret new and revised regulatory reporting requirements, assess impacts across reports, data, systems and controls, and oversee implementation of required changes.

• Lead the assessment and resolution of complex reporting judgments, data quality issues, system defects and production exceptions, including root-cause analysis, impact assessment, remediation and closure validation.

• Partner with business, finance, operations, risk, data governance and technology leaders to resolve cross-functional issues and strengthen upstream data quality and accountability.

• Provide clear and timely reporting to senior management on filing status, key variances, emerging risks, open issues, control concerns and remediation progress.

• Coordinate regulatory examination, internal audit, external audit and independent review requests, and ensure responses and supporting evidence are accurate, complete and delivered timely.

• Lead process improvement, standardization and automation initiatives, including Axiom enhancements, business requirements, user acceptance testing, implementation validation and post-production monitoring.

• Oversee the maintenance of desktop procedures, process flows, data lineage, report inventories, control documentation and other governance materials.

Qualifications

Bachelor's degree in Accounting, Finance, Economics or a related field; an advanced degree or professional certification is a plus.

• Eight or more years of relevant experience in regulatory reporting, financial reporting, accounting, risk reporting or a related control function, including experience leading or reviewing the work of others.

• Strong knowledge of U.S. GAAP, financial statements, banking products and U.S. regulatory reporting requirements.

• Experience with one or more of the following report groups is preferred: FR Y-9C, FR Y-9LP and FR Y-11; FFIEC 002, FFIEC 002S, FR 2644, FR 2900 and FR 2915; or FFIEC 019, FFIEC 009, TIC reports and FR Y-15.

• Demonstrated ability to manage complex recurring deliverables, exercise sound judgment, challenge reporting conclusions and resolve material data, control or reporting issues.

• Strong leadership, stakeholder management and communication skills, with the ability to present complex reporting matters clearly to senior management, auditors and regulators.

• Strong analytical and problem-solving skills, with experience reviewing reconciliations, variance analysis, controls and reporting workpapers.

• Advanced proficiency in Microsoft Excel and familiarity with data analysis or automation tools such as SQL, Alteryx, Business Objects or similar applications.

• Experience with regulatory reporting platforms such as AxiomSL and with leading system enhancements, user acceptance testing and implementation activities is preferred.

• Ability to prioritize across multiple reporting cycles, manage deadlines, escalate risks promptly and maintain a strong control-focused production environment.