Regulatory Analyst Job Description
Regulatory analyst
provides PC hardware/peripherals, Microsoft Office, email, and business applications Maintain call logs and produce daily ,weekly & monthly activity reports to IT&S Management.
Regulatory Analyst Duties & Responsibilities
To write an effective regulatory analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Write policies and procedures
Understand and assist in the identification of key business factors (both internal and external) that impact Regulatory Reporting
Review and assist with the production of COREP Own Funds, Large Exposures and Leverage ratio templates
Review and assist with the production of PRA/ FCA Capital and Financial Statements returns
Review PRA/ FCA Liquidity returns (FSA047, FSA048, LCR, NSFR, and Asset Encumbrance)
Review BOE Statistical returns
Prepare management information
Compile and update procedure documents, also document process changes
Keep up to date with regulatory matters from EBA, PRA, FCA and BOE
Provide other business areas with Regulatory information and advice when required
Regulatory Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Analyst
List any licenses or certifications required by the position: FERC, JIFSAN, ISO, ASQ, GMP, RAC, US, AMEX, SOCRA, ACRP
Education for Regulatory Analyst
Typically a job would require a certain level of education.
Employers hiring for the regulatory analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and High School Degree in Finance, Accounting, Business, Economics, Education, Engineering, Business/Administration, Science, Technical, Law
Skills for Regulatory Analyst
Desired skills for regulatory analyst include:
SAP
Accounting principles and procedures
Microsoft Office Application and PC skills
State
Accounting and financial concepts
FERC process and requirements
PC applications
Basic mathematics
Procedures
Excel
Desired experience for regulatory analyst includes:
Review work of other colleagues within the team
Liaise with compliance and business functions when necessary, for example in case of any regulatory breaches
Other ad hoc duties with in the Regulatory and Compliance Reporting team
Linkage of movement in metrics to business areas and products to identify drivers of material moves with supporting root cause analysis
Identifying and taking the lead role to enhance controls / streamline existing processes
Comparison of production methodology against applicable guidance – eg CRD IV rules (COREP reporting) to ensure ongoing compliance
Regulatory Analyst Examples
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Regulatory Analyst Job Description
Job Description Example
Our company is looking to fill the role of regulatory analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory analyst
- Monitor state regulatory agency docket filings of interest to the business
- Adding and maintaining procedures
- Intermediate knowledge and experience with Excel
- Assist with internal reviews and/or audits including coordination efforts, facilitation of documentation requests, general analysis policies and procedures
- Maintain a ‘tracker’ of all regulatory developments identified
- Draft the ‘Morning Regulatory Round-up’ produced to bring key regulatory developments to the attention of a wide range of stakeholders across the bank
- Possesses solid knowledge of the principles/concepts/practices of the compliance and operational risk discipline and applies them to their understanding of retirement functions, processes and systems
- Coordinate monthly/quarterly Retail customer complaints report
- Coordinate and support potential fraud and privacy issues with respective partners, reporting and tracking of issues
- Keep informed of any legislative and regulatory matters for both custodian bank and broker/dealer and provide proactive follow up support
Qualifications for regulatory analyst
- Strong data aggregation skills – data base usage, Access
- 3 years experience working in a banking compliance or audit related capacity OR
- Graduate degree (Juris Doctor or Masters of Business Administration)
- 5 years with a Federal Regulatory Agency, focused on consumer compliance examinations
- Demonstrates extensive knowledge of CFPB and FRS laws and regulations
- Demonstrates ability to show flexibility - as needs change depending on requirements of the organization
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Regulatory Analyst Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of regulatory analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for regulatory analyst
- Ability to represent business on cross-functional project teams and provides guidance and expertise to help achieve team goals
- Support and may lead compliance related projects, development of training and/or business initiatives
- Provide supervisory principal and vendor governance oversight for department
- Work across the firm and interact closely with Business, Finance and Risk Functions to ensure organizational priorities are achieved on time and without error
- Build insightful materials about the process and the outcomes for Senior Management, the Board of Directors, and the Regulators
- Document, explain, and report on the results consistent with regulatory expectations
- Resolve critical ad-hoc issues that may arise during the semi-annual CCAR production process
- Assist reengineering and improvement efforts, from opportunity identification to successful solution implementation, to enhance the PPNR forecasting process based on feedback from Senior Management and/or the Regulators
- Contribute to other regulatory exercises, including the Recovery & Resolution Plan
- Investigating reconciliation exceptions internally and at the regulatory repository
Qualifications for regulatory analyst
- Demonstrates ability to influence a large span of relationships & levels
- Demonstrates mastery level of proficiencies regarding CFPB, FRS, and FFIEC laws, regulations and guidance
- Demonstrates understanding and knowledge of examinations from regulatory agency such as CFPB, FRS, OCC, or FDIC
- Effective collaboration and interpersonal skills
- Drive and initiative to continually improve process making suggestions for enhancements to increase efficiency and accuracy of reports
- Considerable initiative, creativity and good judgment are necessary
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Regulatory Analyst Job Description
Job Description Example
Our company is growing rapidly and is hiring for a regulatory analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for regulatory analyst
- Assist with various compliance monitoring activities which includes
- Assist Broker Dealer Services Trade Desk and Administrative Team as technical resource and backup assistance as necessary
- Coordinate with applicable functional/program departments as required to meet program specific document deliverable requirements
- Ensure contract deliverables are submitted in accordance with data management processes and on schedule per the contract
- Communicate and report data management issues to management
- Prepare and report on monthly data delivery and on-time status metrics
- Develop data management schedules, establish priorities, and other work related activities
- Review all required data for proper markings to assure the protection of proprietary information prior to submittal
- Interpret and enforce all documentation formatting, standards, policies, and operating procedure requirements
- Review the end to end processes used to report U.S. Regulatory Reporting disclosures (CCAR/FR Y-14, FR Y-9C, Call Report, ) to assess the integrity and soundness
Qualifications for regulatory analyst
- Ability to identify key risks and controls within a process, and then provide an assessment of the preventative and detective controls
- Legal, Public Policy, Government Affairs, Media, or Telecommunications experience preferred
- Strong research experience, to ensure reliable deliverables
- 4 year college degree and 4 or more years of retirement experience preferred
- Must have knowledge of Individual Retirement products
- Institutional Retirement Business knowledge experience a plus (DC, DB, NQ)
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Regulatory Analyst Job Description
Job Description Example
Our company is looking for a regulatory analyst. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regulatory analyst
- Submission of required documents to State Agencies
- Plan, execute and analyze regulatory testing results to identify trends/anomalies, provide feedback, and suggestions on potential process enhancements to improve business unit compliance
- Ensure that compliance issues are brought are escalated and monitor business action plans to ensure timely remediation
- Ability to create and execute testing plans with a focus on regulatory testing
- Create manuals, reports and documents and make updates as needed
- Develop, recommend, facilitate and/or coordinate Employee training
- Run existing daily and month/quarter -end process for timely and accurate regulatory submissions
- Document and articulate the Group’s approach to calculating, assessing, managing and reporting on regulatory capital
- Monitors daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3-3)
- Monitors operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies/industry regulations
Qualifications for regulatory analyst
- Solid Regulatory Reporting knowledge, including experience with FR Y9C, Call Report, FFIEC 009
- 2 – 4 years of relevant experience in operational risk management or audit
- Comfortable managing through ambiguity and change
- Understanding of Bank and/or Investment compliance and regulatory requirements preferred
- FINRA license required or able to obtain in 120 days of employment Series 7 & 24
- Manage testing for Financial Reporting UAT and regression testing
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Regulatory Analyst Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of regulatory analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory analyst
- Get apostilles from the Florida Department of State or consular stamps from Consulates and/or any other documents necessary for product registrations in Latin America
- Compiles operational account information for internal and external auditors
- Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager
- Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies
- Responds to federal regulatory communications with extreme attention to detail and accuracy
- Builds relationships and interacts with U.S. regulators and governmental bodies within the area of accountability
- Assists with a variety of compliance obligations, including, but not limited to assisting with legal research, assisting in review of compliance requirements, drafting and reviewing legal compliance procedure documentation
- Prepares, reviews and ensures accuracy of Key Investor Information Documents (KIIDs) and Key Fact Statements (KFS) for the Luxembourg funds and/or other related activities
- Inputs new or updates existing disclosure and/or creates new or updates existing KIID and KFS documents in the disclosure library database for any changes to facts, documentation, legal requirements, Works with internal and external parties to gather required documentation and prepare all updates
- Represents the interests of unit on cross-organizational initiatives and leads in-unit projects
Qualifications for regulatory analyst
- Work with the wider Projects team, IT, End users to design test strategies, test plans and test cases
- Execution and maintain test cases including functional and regression pack
- BA/BS Degree and 3+ years of experience in Finance, Treasury, Risk, or related field
- Subject matter expertise in Finance or Risk Management concepts and processes in financial services required
- Organized self-starter with the ability to think critically, work independently and creatively
- Exceptional attention to detail, willingness to “roll up sleeves,” tireless work ethic