Regulatory Reporting Analyst I in Charlotte, North Carolina | DiversityInc Careers
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Regulatory Reporting Analyst I


As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.

When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.

To be difference makers.

For more information about TIAA, visit our website.


The Financial Reporting Analyst will report to the Manager of Regulatory Reporting within the Finance and Actuarial business area and the position will involve the amalgamation and submission of federal reports including the TIC B, TIC S and TIC SLT, among others. The analyst will be responsible for reviewing daily activity for engagements with audit firms for supporting the monitoring for auditor independence, tracking of fees, periodic reporting and other related tasks.

The analyst will ensure that proper controls (as documented in company policies and SOPs) are executed to mitigate operational risk and create efficiencies for the Regulatory Reporting Team. The analyst will also assist in updating these documents as needed. Where required the analyst will assist other members of the Regulatory Reporting team with other projects as necessary.

The analyst will be required to:

  • Apply knowledge of GAAP and/or statutory accounting principles to perform standard regulatory reporting tasks.
  • Apply basic knowledge, skills and experience to resolve a range of issues.
  • Usetechnical knowledge to identify ways to complete assignments.
  • Prepare regulatory reports and ensure accurate and timely posting to Reporting Central.
  • Request/modify the company's access to Reporting Central as needed.


*Conducting/revising the legal entity scoping for all entities within the TIAA family of companies for regulatory reporting purposes.

*Assisting the regulatory reporting team with the preparation and submission of all applicable regulatory reports and other industry surveys.

*Monitoring group mailboxes for regulatory reporting and auditor independence.

*Maintaining tracking files for auditor independence for engagements and fees and periodically complete reconciliation with audit firms.

*Drafting periodic reporting for auditor independence for TIAA management and Audit Committee.

*Maintaining supporting documentation for audit purposes.

*Participating in the implementation of process enhancements and documenting system controls and procedures.

*Preparing responses to ad hoc requests for analyses.

*Other departmental duties as needed.


The analyst will contribute to the overall business by:

*Maintaining a sound internal control environment;

*Recommending enhancements to processes, analysis, reporting, and systems;

*Partnering across diverse business lines within TIAA, including Asset Management, Middle Office, Risk Management, Valuations, Tax, Legal & Compliance, Treasury, and Business Development;

*Performing ad hoc analysis and participating in projects and due diligence activities as a subject matter expert.

Problem Solving:

The analyst will demonstrate problem solving skills by:

*Building technical knowledge for specialized industry reporting and operations;

*Evaluating and improving processes to enhance workflow reporting, analysis, and systems;

*Prioritizing and delivering on competing priorities;

*Demonstrating a high standard of quality, attention to detail, organization, self-review skills, thoughtful analysis and problem-solving, and accountability for excellent results;

*Providing clear, accurate and well-organized documentation.

Business or Industry Expertise:

*Knowledge of regulatory reporting (e.g. to the Federal Reserve Bank) is preferred but not required.

*Experience of insurance industry reporting is a plus.

Interactions / Interpersonal Skills:

The analyst will demonstrate interpersonal skills with written and verbal communication including:

*Networking with personnel within the department and across groups to resolve issues and acquire information needed;

*Contributing to departmental projects;

*Communicating with management, third-party accountants and other reporting areas.


Required Skills, Certification(s), Degree(s) or License(s):

  • Bachelor's degree in Accounting, Finance or Business Administration
  • Knowledge and understanding of Generally Accepted Accounting Principles and/or statutory accounting principles to perform standard regulatory reporting tasks.
  • Analytical skills to review information received to facilitate regulatory reporting and obtain business explanation for fluctuations.
  • Technical knowledge to identify ways to build new and enhance existing processes to complete assigned responsibilities with evolving requirements.
  • Ability to learn new reporting requirements and systems to facilitate such information to regulators and other agencies.
  • 1-3 years of accounting, regulatory and/or statutory reporting experience
  • Proficiency in MS Office suite, particularly Access and Excel including formulas, links, and macros

Desired Skills:

  • Working knowledge of OBIEE
  • Working towards or attained a CPA or, CFA designation a plus
  • Strong written and verbal communication skills.

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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as 'protected characteristics').

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017