A focused course, tailored for you
Regulatory Reporting Accuracy for Global Investment Banks
Build the data lineage, attestation controls and reconciliation discipline that make your regulatory returns defensible under examiner scrutiny.
Your numbers clear the submission deadline. But if a prudential regulator asks you to reconstruct the data lineage for a single figure in last quarter's return, can you do it? Most regulatory reporting teams cannot, not reliably, not fast enough to satisfy an examiner.
$199 one-time
Tailored to your situation. Access within 24 hours. 30-day money-back.
Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.
Why this course
Regulatory reporting at a large investment bank sits at the junction of trading systems, finance ledgers, risk platforms and manual adjustments. Each hand-off point is a potential break in the audit trail. Mapping tables change. Staff change. The logic that turned the raw position into the submitted number lives in someone's head or in a spreadsheet with no version history. The APRA return gets lodged on time. The FCA return gets lodged on time. But the documentation that would let you reconstruct those submissions from source data, on demand, in response to an examiner request, is thin. This course addresses that gap directly: not how to produce the number, but how to make the number permanently defensible.
The 12 modules
Module 1. The anatomy of a defensible regulatory return
What examiners look for when they test a submission after lodgement. The difference between a return that is numerically correct and one that is procedurally defensible. This module maps the four failure modes that trigger examiner escalation at large investment banks: missing lineage, undocumented mapping decisions, broken reconciliation chains and attestation sign-off without evidence. You leave with a self-assessment scorecard for your current reporting environment.
Module 2. Source system inventory and data ownership
Before you can document lineage, you need a complete map of which systems feed which returns. This module covers how to build a source system register for a multi-book, multi-entity reporting environment: trade capture systems, position systems, the general ledger, risk platforms and any manual data inputs. Includes a template for recording data owners, update cadences and known data quality risks per source. Covers the APRA reporting data flow as the worked example.
Module 3. Mapping logic: documenting the transformation
The transformation from raw position or balance to reported figure is where most lineage breaks. This module covers how to document every mapping rule in a form that survives staff turnover: what field maps to what, under what conditions, with what exceptions. Includes a mapping specification template that separates business logic from technical implementation, so a new analyst can trace any reported figure to its source without needing to reverse-engineer a spreadsheet formula.
Module 4. Reconciliation architecture for multi-regulator environments
When you report to APRA, ASIC and offshore regulators from the same underlying data, discrepancies between submissions are a regulatory risk in themselves. This module covers how to design a reconciliation framework that checks consistency across returns, not just accuracy within a single return. Includes worked examples of the ARS 330 to FCA COREP reconciliation problem and the control structure that makes cross-submission sign-off credible.
Module 5. Pre-submission controls: catching errors before lodgement
A reconciliation that runs after submission is useful for the next cycle. A control that catches errors before lodgement is what protects you from a breach notification. This module covers the design of a pre-submission control suite: completeness checks, plausibility tests, period-on-period variance thresholds and sign-off gates. Includes a worked example of a pre-lodgement checklist for a large bank's APRA statistical return, with the evidence each check must produce.
Module 6. Attestation design: evidence behind the signature
Attestation at most banks is a calendar event. The return is ready, the deadline is today, the senior manager signs. This module covers how to redesign attestation so that the signature is tied to a documented evidence pack: what data was reviewed, which controls passed, which exceptions were logged and approved. Includes the attestation evidence template used in a four-regulator reporting environment, with escalation paths for exceptions identified in the pre-lodgement window.
Module 7. Change management for reporting systems and mapping rules
Source systems change. Regulatory templates change. Mapping rules change. Each change is a moment where the lineage documentation can fall behind the live production process. This module covers how to build a change management procedure specifically for regulatory reporting: change request templates, lineage update checklists, regression testing for submission templates and a sign-off process that updates documentation before the change goes live rather than after.
Module 8. Responding to a regulator data request
When APRA or the FCA raises a query about a prior submission, the clock starts immediately. This module covers how to structure the response process: triage the query, locate the relevant source data, reconstruct the submission calculation, prepare the response pack and communicate with the regulator. Includes a worked example of a response to an APRA APS 330 query, with the documentation structure that resolved the matter without an escalation to a formal investigation.
Module 9. Internal audit readiness for the reporting function
Internal audit reviews of the regulatory reporting function test process design, not just output accuracy. This module covers how to prepare your team and your documentation for an internal audit: what auditors test, how to present your control framework, how to respond to findings and how to close findings in a way that satisfies both internal audit and the regulator if findings are disclosed. Includes a self-assessment questionnaire mapped to the APRA CPG 235 data management expectations.
Module 10. Data quality management in a trading bank environment
Regulatory reporting data quality problems almost always originate upstream: stale reference data, missing trade attributes, booking errors that propagate into positions. This module covers how to identify the upstream data quality risks most likely to surface in your regulatory returns, how to build a data quality monitoring process with clear ownership and escalation, and how to document known data quality limitations in a way that is transparent to sign-off without creating unnecessary regulatory exposure.
Module 11. Managing regulatory change: new templates and new obligations
APRA updates its reporting standards. ASIC introduces new data obligations. The FCA issues revised supervisory reporting requirements. Each change requires a mapping update, a control redesign and a fresh attestation framework. This module covers how to build a regulatory change management process that gets ahead of implementation deadlines: monitoring obligations, impact assessment for your current reporting infrastructure, gap analysis against new templates, and a project plan template for a regulatory reporting change programme.
Module 12. Building the reporting function operating model
The quality of a regulatory return depends on the operating model behind it: team structure, role clarity, tooling, escalation paths and the governance framework that holds it together. This module covers how to assess your current model against your regulatory obligations and build a sustainable target state as obligations expand. Includes a capability maturity model for regulatory reporting functions, with a scoring guide and a prioritised improvement roadmap.
How this addresses your situation
Specific modules that map to what you said you are dealing with.
Modules 1-3 address the foundational gap: why current returns are numerically accurate but not procedurally defensible, and how to build the lineage documentation that closes that gap.
Modules 4-6 address the control and attestation layer: how to design reconciliation that works across regulators, how to run pre-submission checks that catch errors before lodgement, and how to make attestation a documented evidence process rather than a calendar event.
Modules 7-9 address sustainability: how to keep the documentation current when systems and rules change, how to respond effectively to regulator queries, and how to satisfy internal audit on process design not just output.
Modules 10-12 address the upstream and structural issues: data quality management, regulatory change management and the operating model that determines whether the function can scale without the quality degrading.
Who it is for
Regulatory Reporting Managers and senior analysts at large investment banks or diversified financial groups who own the production and lodgement of prudential, statistical or conduct returns to APRA, ASIC, the RBA, the FCA, the CFTC or equivalent offshore regulators. Typically managing a team of 3-10 analysts across multiple reporting obligations, responsible for sign-off and attestation, and accountable when the regulator raises a query.
Who this is NOT for. Compliance officers whose work focuses on policy and training rather than data. Risk managers who consume regulatory outputs but do not produce them. Technology teams building the data pipeline without ownership of the submission.
How it arrives
Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.
Time investment. Approximately 6-8 hours to complete all 12 modules. Templates and playbook are ready to use immediately on download. Most participants complete the core modules over two to three working days and deploy the first template within the same week.
Why $199 is the right number
External regulatory reporting training programmes typically focus on the regulatory content, not the process and control framework behind the submission. Consulting engagements that address this cost $50,000-$150,000 for a documentation and control design project. This course delivers the framework, templates and methodology for $199, with the implementation playbook tailored to your specific regulatory perimeter and current reporting infrastructure.
FAQ
The course covers APRA. Does it apply to our offshore regulatory obligations as well?
Yes. The data lineage, attestation and reconciliation methodology applies regardless of which regulator the return goes to. The worked examples use APRA as the primary reference because it is the most demanding prudential regime for the largest Australian investment bank group, but the control framework translates directly to FCA, CFTC, Fed Reserve and other offshore obligations. The module on multi-regulator reconciliation specifically addresses the consistency problem that arises when the same underlying data feeds multiple submission templates.
Our team already has good controls. Is this relevant if we have not had a regulator query?
The absence of a regulator query is not evidence that the lineage documentation would survive one. The course is designed precisely for teams where the numbers are right but the documentation trail is thin. The internal audit readiness module and the capability maturity self-assessment in module 12 will give you a clear picture of where your current framework is genuinely robust and where it is relying on institutional knowledge that lives outside documented controls.
How is the implementation playbook tailored to my role?
The playbook is hand-built by Gerard Blokdijk within 24 hours of purchase, based on your role, your regulatory obligations and your current reporting infrastructure as described in the onboarding form you complete after purchase. It is not a generic template. It maps the course methodology to your specific regulator list, reporting cycle and team structure.
