Regulatory Risk Analyst Job Description
Regulatory risk analyst
provides engineering producibility reviews; ability to recognize adequate manufacturing process; ability to evaluate GD&T and/or design discrepancies.
Regulatory Risk Analyst Duties & Responsibilities
To write an effective regulatory risk analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory risk analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Actively support senior officers in identification and implementation of wholesale action plans with a goal of developing strong Credit Risk Management Framework under the OCC’s Heightened Expectation criteria
Assist in development of technological solution for Underwriting Guidelines covering global and wholesale portfolios
Assist in implementation of tracking, reporting, and limit setting mechanisms for exceptions to the Underwriting Guidelines
Assist in development of senior management reporting to encourage buy in of the solutions and process changes
Prepare training materials and assist in training of Credit Risk Personnel and regulators
Facilitate cross LOB and cross functional engagement and proper project management
Provide administration and data production support for risk management tasks, including risk management monitoring and risk management oversight, for funds registered in Poland as they are launched, for funds managed by FTIS Luxembourg (UCITS/AIFs), and for other legal entities including FTF OEIC funds in the UK and potentially accounts managed or sold through the Hong Kong, Singapore, Taiwan or Australia offices
Support production of regulatory risk reports such as Basel III and ICAAP reports
Prepare risk management data and content as applicable for any reports needed for regulatory purposes, including Board Reports and reports needed for the CSSF in Luxembourg, the Financial Conduct Authority in the UK, the PFSA in Poland, or other regulators for the review of the PAIR Regulatory Operations senior staff
Coordinate the risk management work performed for TAMP Warsaw
Regulatory Risk Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Risk Analyst
List any licenses or certifications required by the position: CRISC, CRCM, CISSP, CISM, CISA, PMP, AML, MBA, CPA, ACAMS
Education for Regulatory Risk Analyst
Typically a job would require a certain level of education.
Employers hiring for the regulatory risk analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Business, Accounting, Economics, Education, Management, Computer Science, Mathematics, Engineering, Military
Skills for Regulatory Risk Analyst
Desired skills for regulatory risk analyst include:
Ability to create
Ability to effectively navigate formal and informal communication and decision-making channels
Ability to help an organization adapt to applicable federal
Ability to leverage that information in creating customized customer solutions
Ability to quantify
Ability to read
Business process improvement tools and techniques and ability to understand
Company-specific regulations
Enhance existing business
Evaluate and enhance processes in internal controls
Desired experience for regulatory risk analyst includes:
Over time, the individual will also assist in the regular maintenance of local policies and procedures
Act as back up for other Investment Risk Analysts within the PAIR Regulatory Operations team for such duties as the daily e-mail notification process or the preparation of risk packages or Board reports
Support production of the following types of reports
Experienced in Business Analysis, eliciting from SME’s functional and non functional requirements (preferably with experience with Specification by Example)
Experience of regulatory projects with end to end view of report delivery
Active engagement with senior stakeholders with the ability to brief them in simple terms complex technical problems
Regulatory Risk Analyst Examples
1
Regulatory Risk Analyst Job Description
Job Description Example
Our company is looking to fill the role of regulatory risk analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory risk analyst
- Ownership of requirements gathering into the Product Backlog, and ensuring build is completed within the project milestone timelines
- Direct, daily interaction with reporting SME’s and stakeholders to manage the information flow and delivery of key project milestones
- Learn and understand the banks Control framework and Operating Model to be able to deliver complete and accurate transaction reporting to regulators
- Coordinate the compilation, and in some cases the submission, of regulatory reports within Securities Processing to internal central reporting teams and regulating agencies
- Working with individual lines of business to conduct the internal and external validations of data consumed by regulatory reports
- Active participation in monthly, quarterly and annual reviews
- Utilizing various technology systems for the compilation of data used for reporting and constantly driving the change agenda for further automation
- Evaluation of control processes, standard operating procedures (SOPs) and working supervisory procedures (WSPs)
- An understanding of Trading Lifecycle, Banking Regulatory Environment and relevant product
- A proven performance and control record
Qualifications for regulatory risk analyst
- Market Risk, Valuation or Product Control related experience preferred
- Comfortable with handling large datasets
- Collects and documents business requirements and feed specifications
- Participates in the creation of supporting documentation
- Degree from an accredited college or university with a concentration in Business, Economics, or Finance
- Degree in other disciplines such as Engineering or Computer Science acceptable provided the candidate has 3+ years of experience in Financial sector
2
Regulatory Risk Analyst Job Description
Job Description Example
Our company is looking to fill the role of regulatory risk 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 risk analyst
- Contribute to the development of FRM policies and procedures, taking into account current regulatory expectations and Firm practices
- Provide support for various projects related to policy, governance, and regulatory guidance
- Prepare presentation materials for regulatory exams and requests, ensuring accuracy and timely delivery
- Facilitate the Firm’s communication with regulators regarding risk management related issues
- Assist with the production of reporting for senior management related to regulatory exams and internal audits
- Participate in client onboarding
- Coordinate interactions with different stakeholders (fund administrators, management companies, custodian banks) for ensuring planning, production and delivery of reporting in line with clients’ deadlines
- Produce Regulatory / Risk Reporting for our clients
- Advise clients on Risk and Regulatory reporting topics
- Initiate analysis and development requests for the reporting tools
Qualifications for regulatory risk analyst
- Develop you knowledge on Funds industry including Alternative strategy and Financial derivatives instruments
- Be an active member of the Regulatory Risk reporting team
- Ability to distil complex and varied data into information
- Testing controls across the whole of acquisition, predominantly focusing on whether they are operating effectively, but with an expectation of a broader review on the control design during this process
- Influence Acquisition’s future approach to managing risk and control
- Support the broader team in control execution of a few key controls
3
Regulatory Risk Analyst Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of regulatory risk analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory risk analyst
- Evaluating the impact and applicability of public regulatory events
- Collect and document business requirements and feed specifications
- Participate in the creation of supporting documentation
- Support obtaining sign-off of business requirements
- Liaise with programme / project managers, clients, functional analysts and developers as appropriate to ensure solution design and implementation is in line with the business requirements
- Support creation of business cases outlining cost impacts and value drivers of proposed solutions
- Support and co-ordinates UAT, defining testing requirements together with the QA & Testing Team the clients
- Role has authority to negotiate with business on actions, process alterations, quality execution designs and must influence business into better positions
- Works under direct supervision and from detailed verbal and/or written instructions
- Participate in client onboarding on our reporting platform
Qualifications for regulatory risk analyst
- Experience working in a business environment and the ability to make appropriate trade-offs when building frameworks for the way to solve a problem
- Great stakeholder management and the ability to collaborate with a wide range of different people
- Numeric skills and an ability to understand analytical controls
- Whilst not essential, if you have prior experience with Risk Management then that would be an advantage
- Knowledge of tools and approaches of financial analysis
- BS/BA degree in finance and/or accounting
4
Regulatory Risk Analyst Job Description
Job Description Example
Our company is searching for experienced candidates for the position of regulatory risk analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory risk analyst
- Develop your knowledge on Funds industry including alternative investment strategy and financial derivatives instruments
- Participate in internal initiatives within our Capital Markets department
- Maintenance of appropriate records of work completed in accordance with procedure
- Working with Senior Risk Managers and Quants You will develop VaR models for the portfolios within the Emerging Markets businesses
- Performing self led analysis into the pros and cons of methodology improvements
- Actively developing solutions to negative aspects of model behavior
- Training around new methodology implementations
- Supporting requests for information from regulators and front office
- Lead and conduct targeted and thematic compliance assurance reviews across both retail and institutional markets
- Monitoring of various exceptions to highlight potential disclosure obligations across the regions ? EMEA and Asia Pacific
Qualifications for regulatory risk analyst
- Minimum of one (1) year experience in either Audit, Technology, Risk Management, Regulatory Control/Reporting
- A combination of analytical, organizational and interpersonal skills
- Team player – ability to maintain mutual support within a high profile team
- 1-2 years experience in financial services, controller and/or reporting experience preferred
- Degree from an accredited college or university with a concentration in Business, Economics, or Finance
- Strong organization skills with the ability to multitask and prioritise
5
Regulatory Risk Analyst Job Description
Job Description Example
Our company is hiring for a regulatory risk analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for regulatory risk analyst
- Monitoring and oversight of risk exposure (investment risks and operational risks)
- Maintenance of local risk management policies and procedures
- Preparation of risk management content required for regulatory purposes, including filings to be submitted to the CSSF or other regulators Board reports
- Work with the global PAIR team members on items related to the local risk management requirements
- Support FRTB program management in identifying and implementing solutions for various workstreams within FRTB program, such as risk factor analysis, input data quality, trading / banking book boundary
- Help identifying dependencies and risks within FRTB framework and communicate them to Program teams
- Support and enhance relationships with teams across Risk, Finance, Operations, and Technology to ensure delivery of cross-divisional projects
- Monitor FRTB Program plan, ensuring it is up-to-date and work with internal partners to ensure timely progression and achievement of milestones
- Produce documentation and presentations, including Steering Committee materials to effectively communicate key FRTB information to senior management and regulators
- Participate in ISDA FRTB working groups and collect the Firm’s feedback for the industry communication with regulators
Qualifications for regulatory risk analyst
- Interactions will include all lines of defense risk teams and have authority to effectively represent the business division
- Some post-secondary experience is required
- A strong preference will be given to candidates with training in privacy or risk management
- Understanding of the asset management sector, preferably with previous experience working for an asset manager or large financial organization would be valuable
- Candidate should have a strong background in finance, with a strong understanding of the products and markets in which the CIB operate
- Experience of working with the regulatory agenda