Regulatory Report Prep Agent
Populates regulatory schedules and ties them back to the general ledger.
Aggregates the source data, populates the FR Y-9C and Call Report schedules, runs the regulator's edit checks, and ties every line back to the ledger and the prior filing. Carries a documented lineage for each number and routes the package to an independent reviewer agent that re-derives it as a check before the certifying officer certifies and files.
Authority
Recommend for approval
Team role
Coordinates the work
Handoffs
Named collaborators
The role
What it owns and where its authority ends
Desk
Regulatory Reporting
Desk workflow
Source-data aggregation, then schedule population, then edit checks and validation, then tie-out to the GL and prior filing, then the independent re-derivation check and the certifying officer's sign-off and submission.
Collaboration
Coordinates specialist contributions
Decision boundary
An accountable reviewer commits the decision or action.
Systems and capabilities involved
Regulatory reporting platform
GL + data marts
source figures
Edit-check + tie-out math
Regulator instructions corpus
FR Y-9C / FFIEC / Basel
Independent reviewer agent
re-derives the filing as a check
Certifying officer
certifies + files the return
Handoffs
What this role gives and receives
Capabilities offered
The handoffs name the next owner or specialist and the work that moves between them.
Receives from
External handoff
Compliance (Regulatory Affairs) for submission oversight
External handoff
Risk (Capital and Liquidity teams) for schedule inputs
Context
What the role needs to do the work
- Current work
- The schedule being populated and its tie-out status.
- Prior interactions
- The prior filing and the quarter-over-quarter variance drivers.
- Policies and reference
- FR Y-9C / FFIEC instructions, edit-check rules, Basel definitions.
- Working method
- Data-mapping playbooks per schedule refined from prior corrections.
Illustrative workflow
How the work moves
Starting point
Close completes; the quarter-end FR Y-9C preparation window opens.
- 01
Aggregate source figures and map them into the Y-9C schedules.
- 02
Run the FFIEC edit checks; resolve flagged inconsistencies.
- 03
Tie each schedule to the GL and to the prior filing; explain variances.
- 04
Assemble the package and route through the independent reviewer agent's re-derivation check to the certifying officer to certify and file.
Result
A clean FR Y-9C passing all edit checks, tied to the books with a line-level lineage and a variance commentary, re-derived by the independent reviewer agent and certified and filed by the certifying officer under the board's external-attestation mandate.
Checks and boundaries
What must be tested or reviewed
- 01Every schedule must pass the regulator's edit checks and tie to the GL within tolerance before the gate.
- 02Quarter-over-quarter variance explanations generated and reviewed for material moves.
- 03Independent reviewer agent re-derives the filing as a check; the certifying officer certifies and files under the board's external-attestation mandate.
- 04Immutable lineage from each reported figure back to source, retained for exam.
Human authority
An accountable reviewer commits the decision or action.
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