Risk and Compliance Reporting

Develop regulatory documents required to meet regulatory reporting requirements and obligations



Competency Area

Risk Management, Governance and Regulatory Compliance


Gather and compile information into standard reporting templates

Coordinate and accept submission of regular internal risk and compliance reports from business line

Collect and enter data into standard reporting templates

Submit routine reports to relevant stakeholders for review

Input standard reports into documentation systems for regularly internal reporting

Organise and maintain documentation system to allow for ease of information retrieval

Prepare initial drafts for regulatory submissions

Collect and document data and evidence required based on regulatory reporting frameworks and compliance standards

Verify completeness of information collected according to regulatory reporting requirements

Organise information and data into defined templates and/or meaningful categories

Draft regulatory documentation for review by senior team members

Identify and suggest improvements to improve risk and compliance reporting process

Oversee collation of information and development of reporting deliverables

Determine types of information required based on reporting objectives

Identify regulatory reporting needs and timelines for submissions

Determine operational plans and reporting system requirements to ensure adherence to reporting timelines

Guide preparation of reports on risks and compliance

Highlight areas of concern, changes, emerging threats and opportunities.

Review prepared reports for accuracy and validity according to reporting frameworks

Manage continuous improvement activities for reporting processes and reporting systems

Drive accurate reporting of risk and compliance matters

Develop regulatory reporting frameworks aligned to organisational processes and structures

Ensure changes in regulations and/or reporting requirements are captured within organisational reporting frameworks

Define KPIs for risk and compliance reporting

Conduct periodic reviews for accuracy of reports for submission or communication to senior stakeholders and regulators

Present and communicate information captured within risks and compliance regulatory reports