Regulatory Change Cover Letter

I would like to submit my application for the regulatory change opening. Please accept this letter and the attached resume.

Previously, I was responsible for regulatory guidance in risk assessment, identify regulatory impact to the Life Science and provide regulatory recommendations to mitigate potential risk.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Authored typical systems development life cycle documents in the past such as business and functional requirements
• Experience with MiFID 2 or in an Audit/Accountancy role (to have a qualification as a Chartered Accountant, or other relevant professional financial qualification (e.g CFA) would be helpful
• MiFID I / MiFID II
• Assist in developing and then manage a quality assurance process whereby Compliance Officers evaluate Compliance Advisor assessments of new regulatory changes
• Proficiency with financial services consumer laws and regulations
• Manage and developed staff
• Influencing business partners
• Subject Matter Expertise in areas of the product life cycle

I am excited to be applying for the position of regulatory change. Please accept this letter and the attached resume as my interest in this position.

In the previous role, I was responsible for senior leadership with detailed regulatory risk evaluations and risk mitigation strategies in context of global switch environment.

Please consider my qualifications and experience:

• Strong computer skills with working proficiency of Microsoft Office
• Prior experience with eCTD submissions preferred
• The role will report to the EMEA Head of Regulatory Management and Change
• Oversight of Regulatory Change across EMEA impacting the Corporate and Investment Bank, CIO/Treasury, Wealth Management, and Commercial Bank lines of business
• Coordination and oversight of ex-UK monitoring of relevant changes and assessment of Compliance impacts
• Working with Global Compliance teams to ensure timely communication of EMEA changes with broader global impact identify non-EMEA changes requiring implementation in the region
• Extensive experience in a banking or risk management environment, or financial services from a legal or regulatory perspective
• Good knowledge of key financial services regulation and the EU regulatory/rule making process

I would like to submit my application for the regulatory change opening. Please accept this letter and the attached resume.

Previously, I was responsible for regulatory guidance in risk assessment, identify regulatory impact to Merck LS and provide regulatory recommendations to mitigate potential risk.

Please consider my experience and qualifications for this position:

• Rules and regulations of the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Office of Thrift Supervision (OTS), state banking and securities regulatory agencies
• Advanced knowledge of the principles of banking, finance and securities industry operations
• Monitoring and interpreting regulatory guidance
• Assessing the business impact of regulatory changes
• Overseeing regulatory change management programs
• Providing support and guidance for firm regulatory efforts
• Representing firm in industry forums and trade groups
• Researching regulatory issues

Please consider me for the regulatory change opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for regulatory guidance in risk assessment, identify regulatory impact to Merck Life Science and provide regulatory recommendations to mitigate potential risk.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Attention to detail, effective and accurate oral and written communication skills are essential attributes
• Support the Implementation Managers to align operating model to business requirements and technical solutions
• Creativity - looks for solutions to issues and problems
• Advanced level proficiency in MS Excel and Access (file linking, vlookup, concatenation, macros, relational database creation and query)
• Advanced SharePoint knowledge including designing, creating, and maintaining sites and workspaces
• Knowledge of FIS' compliance products and services is desirable
• Experience with metrics and quantitative measurement preferred
• Knowledge of RSA’s ARCHER solution desirable

In response to your job posting for regulatory change, I am including this letter and my resume for your review.

In the previous role, I was responsible for technical regulatory expertise to assist the business in the region in assessing health risk and regulatory compliance for FIBI products.

Please consider my experience and qualifications for this position:

• Strong team player willing to work closely across and with multiple teams including as part of a network of Compliance practices where inter-dependencies will be strong and ongoing
• Understanding of Compliance practices and methodologies including risk assessment, testing and surveillance
• A good overall understanding of Regulatory Capital Credit and Market Risk in all its dimensions (limits, ratings, exposure and reporting)
• Detailed knowledge of Credit and Market Risk metrics
• Good understanding of Finance concepts (Ledgers, P&L, and Capital)
• Detailed Risk and Finance workflow knowledge
• Experience of working in the investment management industry across a wide range of products preferable
• Experience of working on complex business & technology process initiatives