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Lead Analyst, Regulatory Assurance and Validation at SVB Financial Group

Lead Analyst, Regulatory Assurance and Validation

SVB Financial Group Raleigh, NC Full-Time

When you work with the world's most innovative companies, you know you're making a difference.

Our clients are the game changers, leaders and investors who fuel the global innovation economy. They're the businesses behind the next medical breakthroughs. And the visionaries whose new technologies could transform the way people live and work.

They come to SVB for our expertise, deep network and nearly forty years of experience in the industries we serve, and to partner with diverse teams of passionate, enterprising SVBers, dedicated to an inclusive approach to helping them grow and succeed at every stage of their business.

Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive organization. And we work diligently to encourage all with different ways of thinking, different ways of working, and especially those traditionally underrepresented in technology and financial services, to apply.

Job Description

The Lead Analyst, Regulatory Assurance and Validation (RAV) role is responsible for performing independent execution of control evaluation related to regulatory and external reporting, including control design, control operating effectiveness and effective challenges to safeguard reporting integrity. The control validation in this role focuses primarily on capital planning and strategy (CCAR) and liquidity controls, plus other regulatory reports as needed. This entails performing control, adherence and substantive testing procedures through periodic reviews of regulatory filings submitted to regulators. The Lead Analyst will work closely with the Senior Manager in the US RAV, and other managers and team members in both in the US and India, plus key stakeholders to assist in testing and leading test assignments.

Essential Functions:

* Assist the Senior Manager in developing and executing upon the control validation program standards to ensure effective control evaluation

* Assist with risk assessment scoping process and testing procedures within the capital planning (CCAR) and liquidity business areas of a large financial institution

* Lead and participate in walkthrough discussions with process and control owners to assess inherent risks, identify controls and control gaps

* Execute testing of control design, control operating effectiveness, and perform adherence, transactional or substantive testing for data validation

* Identifying issues, follow-up with stakeholders and senior managers, and recording them within issue management

* Communicate issues to report owners, discuss potential action plan steps, and validate remediation action plans to ensure adequacy and compliance with standards

* Opportunity to execute testing of other regulatory reports, financial controls, or contribute to any other projects or risk related activities as required.


* Software: Microsoft Office Suite, GRC / Workiva

Experience Required:

* Minimum 6-8 years performing audit work, which conforms to professional standards. Progressive experience in a combination of public accounting (Big 4 or large regional accounting firm) and/or internal audit experience with a background in financial services
* Strong / broad understanding of current Capital Planning (CCAR) and Liquidity regulatory reporting requirements in the United States.

Preferred Education and Certification

* Masters, CPA, CIA and/or CA

© 2021 SVB Financial Group. All rights reserved. SVB, SVB FINANCIAL GROUP, SILICON VALLEY BANK, MAKE NEXT HAPPEN NOW and the chevron device are trademarks of SVB Financial Group, used under license. Silicon Valley Bank is a member of the FDIC and the Federal Reserve System. Silicon Valley Bank is the California bank subsidiary of SVB Financial Group (Nasdaq: SIVB).

Equal Employment Opportunity

Silicon Valley Bank is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices.

Silicon Valley Bank is registered in England and Wales at Alphabeta, 14-18 Finsbury Square, London EC2A 1BR, UK under No. FC029579. Silicon Valley Bank is authorised and regulated by the California Department of Business Oversight and the United States Federal Reserve Bank; authorised by the Prudential Regulation Authority with number 577295; and subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request.

Recommended Skills

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