Liquidity reporting Compliance

This role sits as part of a first line compliance function to ensure that functionality, processes and reporting outputs built for Reporting Ops meet the regulatory criteria as documented by the relevant regulatory instructions, regulations and policies. This role will involve close liaison with both Finance Change colleagues as well as colleagues in Reporting Operations interacting with the Reporting Owner for the Liquidity Regulatory Reports.

Role Profile and Description of Responsibility

Build and lead a BAU compliance function to ensure that the Regulatory Reporting functionality built and released quarterly under various change epics delivered by Finance Change comply with the reporting requirements as detailed under the Reporting Instructions and Reporting Regulations from the local or group regulator, as well as any additional Policy Interpretations provided by Group Reg. Policy or local policy representatives.

The role will involve close liaison with the Product Owner for Liquidity Reporting in identifying the epics delivered in the previous release to be tested for compliance; documenting the test cases required for compliance testing by reference to required instructions, regulations and policy; managing test execution by a small team of dedicated testers; analyse test results for compliance with the testers; flag any items which require further investigation; identify any cases of non-compliance back to stakeholders including Reporting Ops and Report Owners; provide rapid feedback to the build team in cases of re-build required for compliance.

Required Skill Set

Deep subject matter knowledge and expertise in liquidity reporting constructs (for example LCR, NSFR, Maturity Ladders, etc).

Knowledge of core regulatory requirements including reporting instructions, regulations (for example CRR), and internal policies for liquidity reporting

Documentation capability to document test cases for testing whether delivered build output complies with reg & policy requirements (including but not limited to the logic, filter criteria, data attributes, frequency requirements, static reference data requirements)

Able to work at pace to ensure that quarterly cadence of delivery of change in liquidity reporting is maintained to ensure rapid feedback in case of any non-compliance

Able to develop and manage 2 x GCB 5 testers who will assist with test case script development, script execution in test environment (RADAR), validation of test outcomes to test expectations, investigations of unexpected outcomes

Able to engage at a senior level with Product Owner, Reporting Owner, Reporting Ops leads and ensure communication of compliance outcomes, tracking of delivery, and managing output.

Working knowledge of SQL to run query’s as required in the cloud platform test environment to support test case formulation, and to understand any logic build to verify code compliance to requirement.

Experience with use of ETL documents and related SQL scripts to understand detailed data transformations as well as being able to explain these to less technical colleagues

Understanding of banking products and the financial industry, with familiarity to complex trading structures such as Repos, Collateral Swaps and Derivatives

Competence in dealing with large complex datasets and using data analysis skills to manipulate and interrogate the data to produce findings

Able to engage with Finance Change business analysts, design & build and data analysts in cases of any non-compliance items found which require further remedial build, clearly articulating the cause of the non-compliance and the proposed remediation.

Able to engage with Reporting Ops to articulate all test findings, including compliant and non-compliant findings, alongside expected impact of any change requirements due to non-compliance defect fixes.

Responsibilities

• Lead end-to-end execution of projects and cross-functional deliverables for Liquidity reporting Compliance.
• Collaborate closely with departmental peers and stakeholders to ensure seamless operational continuity.
• Monitor core performance KPIs, troubleshoot bottlenecks, and implement optimization protocols.
• Champion high quality standards, peer reviews, and comprehensive team documentation.