Regulatory Advisor Resume Samples
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Regulatory Advisor Resume Samples
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OS
O Schaefer
Orpha
Schaefer
19825 Gay Shoals
Dallas
TX
+1 (555) 432 7879
19825 Gay Shoals
Dallas
TX
Phone
p
+1 (555) 432 7879
Experience
Experience
Dallas, TX
Regulatory Advisor
Dallas, TX
Mraz LLC
Dallas, TX
Regulatory Advisor
- Contributing to GRA communications, such as daily briefing, forward look, position papers and external presentations
- Contributing to continuing to raise the profile of the policy team via engagement with internal stakeholders and client support
- Develop, document, and maintain communication, documentation, and training through a variety of methods and mediums
- Familiarity with the Basel Committee on Banking Supervision’s framework on capital, liquidity and leverage
- Representing Deutsche Bank on prudential committees at a number of trade bodies and other public fora to ensure effective support for Deutsche Bank priorities
- Developing Deutsche Bank positions and responses to public consultations, on key prudential regulatory issues
- Monitor AEOI related regulatory developments/ timelines and ascertain there impact on Invesco
Chicago, IL
Regulatory Control Advisor
Chicago, IL
Torp-Gerlach
Chicago, IL
Regulatory Control Advisor
- Overseeing the team which is tasked with Level 1 investigations of Transaction Monitoring / Alert Management, Unusual Activity Reports, Internal escalations (Business Intelligence Unit, Anti-Fraud, Bribery and Corruption etc) or external requests such as Law Enforcement
- Operating effective Triage and Case Creation process to feed Level 2 investigation teams
- Providing on-going training to the Investigators
- Evaluating potentially suspicious transactions escalated from the team and further escalating to AML Management as necessary
- Handling complex and confidential cases for management
- Robustly managing the investigation of any SARs considering all relevant information and documentation
- Overseeing the team which is tasked with Quality Assurance of Financial Intelligence including Alert Management, Level 1&2 Investigations, SAR filing, external referrals including Business Intelligence Unit, Sanctions, Anti-Fraud, Bribery and Corruption
present
Detroit, MI
Senior Regulatory Advisor
Detroit, MI
Hodkiewicz, Schuster and Aufderhar
present
Detroit, MI
Senior Regulatory Advisor
present
- Support all regulatory filings and associated activities for clients at the CPUC for Energy Efficiency Programs Funding proceeding and other federal, State or local regulatory agencies, departments, offices and/or funding opportunities
- Review CPUC proceeding documents (Order Instituting Rulemaking, Administrative Law Judge/Commissioner Statements, Proceeding Scoping Documents, Proceeding Participant Comments/Reply Comments, Draft Decisions, Final Decisions)
- Review similar documents in other federal, State or local regulatory agencies proceedings
- Advise a multi-functional project team comprised of technical and marketing specialists (some ICF internal staff and some subcontractors) to ensure timely and professional completion of all tasks and achieve specific program goals
- Developing and implementing long-term business plans for growing energy efficiency work in the residential, commercial and industrial sectors
- Prepares and/or review regulatory permits, applications and landowner letters for junior and intermediate regulatory staff or engineers
- Provide technical regulatory and environmental support to all clients, engineers and project managers
Education
Education
Bachelor’s Degree in Trend Monitoring
Bachelor’s Degree in Trend Monitoring
University of Florida
Bachelor’s Degree in Trend Monitoring
Skills
Skills
- Excellent communication and interpersonal skills, including the ability to provide pragmatic and ‘user friendly’ advice and support
- Action-oriented. Able to establish priorities, meet deadlines, and concentrate on detailed information in a fast-paced demanding work environment
- Good verbal and written communication skills combined with ability to listen effectively
- Highly organised with a results focus and comfortable working to short deadlines
- Experience of interactions with regulators and knowledge of the policy development process in EU and other regions
- Excellent analytical skills
- The ability to manage regulatory and industry relationships
- Ability to prioritise, with a “can-do”, calm and cheerful attitude under pressure, high energy and a constructive approach to providing solutions
- Ability to conduct research into complex legal / regulatory issues
- Capable of managing multiple projects in parallel and prioritising time to ensure tight deadlines are met
15 Regulatory Advisor resume templates
Read our complete resume writing guides
1
Emir Regulatory Client Service Advisor Resume Examples & Samples
- Quickly establish a solid understanding of the EMIR regulation, the current build out of the EMIR reporting team and various systems used within UBS
- Review internal and external client requests including establishing requirements, deliverables, priorities and resolution
- Performing front to back trade, valuation and collateral analysis for client reporting, raised via client queries, leveraging internal UBS teams and individual investigation
- Effectively articulate ideas /explanations in a timely and professional manner to both internal and external clients
- Oversight and support of the onshore and offshore EMIR team & MIS production metrics
- Requirements
- Quick learner, with a mature attitude to responsibility and confident working as a team member or under own initiative
- Prior Regulatory experience is advantageous (EMIR experience preferred) and knowledge of Derivative products would be advantageous
- Strong organisational skills. Able to manage high volumes of client requests and identify resources required to complete tasks to a high standard
- Excellent interpersonal skills. Able to articulate findings both written and verbally to team and clients, as the role requires interaction with many different people in an intense environment
- Strong Excel skills, strong analytical and problem-solving skills across large data sets
2
Senior Regulatory Advisor Resume Examples & Samples
- Support all regulatory filings and associated activities for clients at the CPUC for Energy Efficiency Programs Funding proceeding and other federal, State or local regulatory agencies, departments, offices and/or funding opportunities
- Review CPUC proceeding documents (Order Instituting Rulemaking, Administrative Law Judge/Commissioner Statements, Proceeding Scoping Documents, Proceeding Participant Comments/Reply Comments, Draft Decisions, Final Decisions)
- Review similar documents in other federal, State or local regulatory agencies proceedings
- Respond to specific requests for data, information or other needs from the CPUC or other regulatory proceeding administrators
- Provide program-related advisory services related to legislative, regulatory, utility administration, strategic planning , public affairs, fiscal management, and other areas in support of the administration and management of CPUC Programs and in support of activities required for the CPUC proceedings for Energy Efficiency Programs
- Represent ICF clients, as needed, at CPUC and/or other regulatory agency, federal/state/local offices, and other funding source venues; provide minutes of meetings and updates of these representations
- Advise a multi-functional project team comprised of technical and marketing specialists (some ICF internal staff and some subcontractors) to ensure timely and professional completion of all tasks and achieve specific program goals
- Developing and implementing long-term business plans for growing energy efficiency work in the residential, commercial and industrial sectors
- 10+ years of CA CPUC Regulatory experience supporting, managing, and responding to electric and gas energy efficiency regulatory filings, with experience in residential, commercial, industrial, and/or local government energy issues
- Experience managing regulatory activities, compliance, and providing representation for projects with public sector clients, including providing quality control and budget accountability
- Senior level experience in the CA EE market with related energy efficient and renewable technologies
- Ability to apply detailed knowledge of organizational procedures to make independent decisions and serve as a credible resource for a senior management team
- Ability to work with all levels of internal staff, as well as outside clients and vendors
- Proficiency in MS Office Applications (Word, PowerPoint, Outlook, Excel)
- Ability to be flexible to handle multiple priorities
3
Regulatory Policy Advisor Resume Examples & Samples
- Have up-to-date experience of working in a regulatory control department / similar function of a financial institution
- Be able to demonstrate up-to-date knowledge of the EU / PRA / FCA prudential requirements in particular recent developments relating to on-going implementation of Basel III and forthcoming Basel IV proposals
- Understanding of control processes involved in Regulatory reporting
- They will need to be self-motivated, approachable, able to absorb technical information
- Excellent communication and good project management skills
4
Regulatory Engagement Specialist Advisor Resume Examples & Samples
- Responsible for central coordination across all COO functions and divisions for all regulatory and external audits, inquiries and investigations
- Provide governance and oversight for all audit deliverables to ensure clarity, consistency and continuity in our responses to regulators
- Document, track and report on all audit related deliverables and regulatory commitments
- Provide thoughtful , value-add challenges to proposed management action plans and strategic remediation programs
- Administer guidance to stakeholders for complicated regulatory matters
- Participate and manage Living Wills COO business-as-usual activities
5
HR Governance Regulatory Controls Advisor Resume Examples & Samples
- Management of the SMR End to End linked HR processes
- Policy Reviews and updates linked to Regulatory requirements/changes
- Oversight and management of the Annual review process under Fitness and Propriety for PRA/SANV/NBB/CBI
- Management and oversight of the HR related areas/feeds to the Governance database system
- Responsible for the management and day to day maintenance of the HR Director’s Control schedule (London Branch & Mil), ensuring regular Quality Reviews are carried out with delegated COE stakeholders
- Attend the weekly SMR/Certs meetings as required to keep abreast of emerging requirements and impact on the HR deliverables, ensuring that all follow up actions are managed to completion
- Oversights for EMEA Governance requirements such as annual completion of BBA data requests, SMR MI, as requested ensuring target dates are managed to delivery
- Attend project meetings, taking an active role and provide input into the development and implementation of the GC Database, liaising with the HR Governance & Internals Manager as appropriate
- Support the HR Governance team’s deliverables as agreed on an annual basis in relation to Audits, SOX, Business Continuity and other projects based on the year end planning calendar
- Own and manage the transition of the Control Schedule requirements to Rule Book mapping, attending project meetings and applying best practice to the HR related processes taking guidance from the HR GIC manager as appropriate
- Working with RAM (Regional Area Management) review, update, communicate and maintain the HR processes linked to the SM R/CERTs ‘End to End’ process
- Liaise with HR Solutions to ensure DTP are in line with the SMR /CERT related processes
- Manage the Annual SMR/Certs fitness and Propriety requirements for JD renewal, renewal liaising with key stakeholders in Compliance/RAM as required, working with the HR Governance and Internal Specialists to meet agreed schedule
- Internal clients: EMEA HR Director, EMEA Chairman, HR Community of Expertise, EMEA HRBP Leads
- Build relationship with the EMEA HR team to be the point of contact for SMR/CERTS HR related queries
- Regional Area Management, Compliance
- External clients: BBA for reporting purposes
6
Regulatory Policy Advisor Resume Examples & Samples
- Provides leadership and consultancy to the Diagnostics Division on regulatory policy and strategy related topics. Works with the BAs/BUs/Global Functions/Affiliates to facilitate appropriately tailored changes mandated by a constantly changing regulatory environment
- Identifies and leads regulatory policy and strategy initiatives that will lead to a more favorable regulatory environment in which to operate
- Develops and implements regulatory strategies and tactics to enhance Roche’s ability to be nimble in a changing regulatory environment
- Supports BAs/BUs to maintain an appropriate level of regulatory environment awareness throughout the organization
- Supports regulatory intelligence efforts and communications
- Subject matter expert for key regulatory policy and strategy areas
- Supports team efforts related to people development and engagement
- May establish and manage program’s budget and resources
7
Lead Advisor RC Regulatory Development Resume Examples & Samples
- Seasoned professional with experience with regulation applicable in the financial services sector
- Professional qualification – Legal or Accounting
- Extensive knowledge of financial services regulation as relevant to HSBC’s businesses and material geographies of operation
- Significant experience in the financial services industry
- Lateral thinker with an ability to interpret and solve complex issues
- Ability to adopt a tailored and effective communication style to regulators at all levels of seniority and varying levels of management up to and including executive management
8
Advisor, Regulatory & Scientific Affairs Resume Examples & Samples
- Provide technical regulatory affairs guidance and direction to product lines (PLs) regarding regulatory compliance for existing products, regarded designated areas/issues/ projects
- Grow as a subject matter expert on related areas/issues
- Develop regulatory positions and advocacy documents, working with the relevant PLs, and in coordination with corporate functional units (FUs)
- Advocate positions of our Company in relevant EU trade associations and participate to its outreach activities
- Support other members of the corporate regulatory & scientific affairs team, including support of the team leader compiling scientific information to help risk assessment in case of incident
- Advanced degree in life sciences or agricultural sciences
- 5 consecutive years’ work experience in food industry or food trade association
- Experience of risk assessment in a business is a plus
- Experience regulatory affairs with expertise in European regulatory authorities
- Good written and verbal communications skills
- Able to summarize scientific information in a format adapted to the target audience that lead to clear
- A team player with strategical thinking and leadership skills
- Good European government, industry and academia contacts
- Eager to learn in regulatory affairs
9
Senior Regulatory Advisor Resume Examples & Samples
- Prepares and/or review regulatory permits, applications and landowner letters for junior and intermediate regulatory staff or engineers
- Provide technical regulatory and environmental support to all clients, engineers and project managers
- Prepare, coordinate and review Alberta Environment registration or approvals
- Liaise with AER, Ministry of Natural Resources, OGC and NEB technical specialists regarding regulatory issues
- Manage and maintain records of licensing information for each client
- Coordinate the priority of completion for new application requests from internal and external clients to meet project deadlines
- Prepare larger Gas Plant and Compressor facility Applications for OGC and AER including the following
- Coordination of required engineering deliverables
- Coordination and understanding of consultation and notification (C&N) timelines
- Coordination with Land company or client land group on land acquisition timelines
- Coordination of third party assessments (air and noise assessments)
- Coordination of all application deliverables with respect to clients construction and operation timelines
- Coordinate third party assessments as they may relate to a project (for example, Noise Impact Assessments, and Air Modelling Reports) and ensure they meet schedule and cost expectations for the project
- Provide man-hour estimates and schedule input to project engineers and managers
- Research unique regulatory circumstances and provide confident regulatory recommendations
- Excels at interpreting regulations and making recommendations based on interpretations
- Support business development proposals when required; and
- Expected to work with all levels of the organization in a cohesive manner
- Bachelor Degree in Environment Science or other applicable background or Diploma or Certificate in Environment Science or Oil and Gas Regulations (SAIT)
- 6+ years of Western Canada oil and gas regulatory experience; and
- Knowledge about EPCM role within the Oil and Gas Industry
10
Surveillance Risk Officer Regulatory Control Advisor Resume Examples & Samples
- Actively participating as part of the EMEA Trade Surveillance Management team
- Directly involved in the expansion of our communication activities across email, chat voice etc (incl Level 1)
- Reviewing and Investigating surveillance alerts and escalations in a timely manner, taking any necessary action for trading, communications and information barriers surveillance
- Performing Lexicon reviews, testing, new platform and system testing, User acceptance testing (UAT) feedback and delivery to live Business as Usual (BAU)
- Acting as a ‘leader’ and mentor, leading training sessions, representing EMEA in global projects and representing the Surveillance team to Senior Stakeholders in the Business
- Acting as a key participant in the compliance planning strategy meetings and being responsible for delivering parts of that strategy
- Developing your product knowledge and understanding in trading methodologies
- Reviewing alerts on trading, emails and other communications for potential breaches of laws, regulations and internal policies
- Experience documenting results
- Conducting ad-hoc management information reporting and project work
- Supporting and developing staff involved in the surveillance processes to ensure the effective and efficient operation of surveillance activities
- Previous people and process management experience
- Some experience of conducting investigations
- Excellent presentation and communication skills, both orally and in writing
- Experience with investment banking products
- Surveillance or trading experience covering a variety of financial products
- Compliance/regulatory experience (beneficial)
- A highly motivated self-starter
- Personable with the ability to work with a team
- Educated to Bachelor degree level, or have the equivalent relevant qualifications or experience
- Able to manage deadlines and ensure adherence to regulatory/audit requirements
11
Regulatory Control Advisor Resume Examples & Samples
- Overseeing the team which is tasked with Level 1 investigations of Transaction Monitoring / Alert Management, Unusual Activity Reports, Internal escalations (Business Intelligence Unit, Anti-Fraud, Bribery and Corruption etc) or external requests such as Law Enforcement
- Operating effective Triage and Case Creation process to feed Level 2 investigation teams
- Identifying current AML / Counter Terrorist Financing (CTF) typologies / trends and keeping abreast of emerging ones, ensuring the team are suitably trained to understand the same in order to be able to robustly identify issues of concern
- Providing on-going training to the Investigators
- Providing guidance and support on the Investigators questions and concerns, providing advice as required as well as day to day support
- Evaluating potentially suspicious transactions escalated from the team and further escalating to AML Management as necessary
- Handling complex and confidential cases for management
- Robustly managing the investigation of any SARs considering all relevant information and documentation
- Further managing the reporting requirements, both internal and external, resulting from the SAR investigations
- Overseeing the team which is tasked with Quality Assurance of Financial Intelligence including Alert Management, Level 1&2 Investigations, SAR filing, external referrals including Business Intelligence Unit, Sanctions, Anti-Fraud, Bribery and Corruption
- Ensuring the robust application of all relevant controls as required by extant Deutsche Bank Policy and / or procedures
- Acting as a point of contact for all relevant systems-related issues from within the wider AML team
- Acting as liaison between AML and the relevant teams responsible for the maintenance and development of the underlying systems, ensuring that said systems operate at all times in accordance with the legal and regulatory framework in place within the United Kingdom / European union as well as in line with Deutsche Bank policy and procedures
- Maintaining detailed Management Information in order to ensure a significant degree of trend monitoring and analytics is available for Management review at least monthly or on an ad-hoc basis as required
- Managing reporting on the productivity of the team and dealing with the associated issues
- Providing feedback to the Data and Analytics team where rules are noted not to function as expected and identifying any AML/CTF gaps
- Acting as the primary contact for Information Technology (IT) in respect of all User Acceptance Testing (UAT) systems support and to be the designated approver thereof
- Acting as the primary point of contact for IT in respect of any systems enhancement or replacement issues and providing appropriate feedback, opinion and advice
- Pro-actively involved in Process Improvement, making recommendations as appropriate
- Pro-actively engaging in all aspects of Change Management as necessary
- Leading on key projects for the unit
- Keeping abreast of all regulatory developments which may impact the function
- Strong AML/CTF knowledge and experience in either an AML/ATF role, legal, compliance, law enforcement or regulatory background; preferably within or working with the Financial Services industry
- Experience in managing an Financial Intelligence Unit (FIU) (beneficial)
- Strong Financial Investigation experience
- Knowledge or experience of Criminology (beneficial)
- Knowledge of key Fintech systems would be an advantage i.e. MANTAS, Actimize etc
- Proven team management capabilities
- Ability to work under pressure and within tight deadlines with no loss of accuracy
- Ability to show initiative and react quickly to changes in priorities
- Strong and proven investigations experience
- Educated to Bachelors degree level (or equivalent qualification / work experience)
- Action oriented with a strong focus on completing tasks with accuracy and efficiency while working independently and with minimum direction
- Has a pro-active approach to tasks and responsibilities
- Has high energy and enthusiasm levels
12
VP, Regulatory Administration Advisor Resume Examples & Samples
- Minimum of 10 years of experience as an attorney/senior paralegal in any of the following organizations
- Law firm (specializing in Mutual Fund, RIC)
- Experience working with mutual fund boards, including attending board meetings and delivering presentations and covering matters for board consideration
- General corporate and securities law, such as establishing and maintaining companies (filings and board directors work) and preparing documents and filings for private placements and public offerings
- Fund Accounting and Administration background
13
C-senior Regulatory Monitoring Advisor Resume Examples & Samples
- Monitoring the business against Ofqual's conditions and other regulatory requirements, providing guidance, and identifying opportunities to improve business practice and procedures
- Providing expert guidance to the business to support their compliance with the regulatory framework
- Identifying and escalating regulatory risk through the regulatory risk log
- Managing Pearson's conflict of interest arrangements
- Ensuring that regulatory requirements are met in the development of Pearson's qualifications, both regulated and self-regulated
- Liaising with the Quality Assurance functions across the business
- To lead, on behalf of the Head of RMR, in monitoring a planned programme of activity against key criteria, ensuring that procedures and quality standards are maintained. For each monitoring activity produce a scope and a final report based on the findings making recommendations and highlighting improvements
- Contribute to the development of an annual monitoring plan, with particular responsibility for certain monitoring activities, for example for Pearson’s Self-regulated Framework and Pearson Assured
- To work on behalf of the Head of RMR to develop and implement a risk-based system which highlights key high-risk regulatory areas and ensures all monitoring activities are justifiably conducted
- To contribute to specified services in the team to support high quality regulatory requirements, such as framework and qualifications development and compliance, credit and leveling; providing a regulatory sign-off and feedback as part of the vocational qualifications training pack production process; monitoring of marketing and publishing activity
- To be the main point of contact in providing advice and guidance on specific areas of regulation; specifically conflict of interest queries
- To maintain records for, to report and to escalate conflict of interest regularly
- To provide a customer-focused regulatory service to the team’s internal customers, supporting them in ‘getting it right first time’
- To represent the RMR team in cross-department BIR activities
- To work and gain an understanding of all RMR activities with a view to leading on future projects such as qualification development
- Training and supervision of other members of staff as required
- The collation and provision of appropriate management information as required
- To undertake the lead for specific monitoring activities as required and deliver high quality, regulatory focussed reports that fulfil business needs/requirements
- To recommend and promote practical and cost effective actions for improving the effectiveness of business processes and to monitor and support to ensure the successful completion of action plans
- Identify best practice and work alongside management to deliver and implement realistic action plans
- Together with the Head of Regulatory Monitoring and Risk, to be the central point of communication for the interpretation of regulation as it applies to qualification development
- Provide strategic advice, expert guidance, training and support for the organisation as a whole, including executive and senior managers throughout the business, on regulatory issues within the team’s areas of expertise
- Collate Management Information for Management Review and as required by the Head of Audit and Quality
- To establish and maintain constructive working relationships across the business
- To contribute to the development of an annual risk-based strategy for the team’s core functions, which ensures successful delivery of projects to the required time, cost and quality
- Communicate effectively and professionally within the team and in the wider business
- Undertake the lead or support of specific projects as directed by the Head of RMR
- The post holder will also support the broader work of Business Improvement and Regulation by working across the various functions of the division, including investigations into cases of appeal, malpractice, maladministration and breaches of security, regulatory monitoring and Business Continuity, when required to do so
- Solid understanding of the regulatory environment and regulatory requirements
- Good understanding of the education/training environment
- Experience of writing briefings, reports and business correspondence
- Knowledge of quality mechanisms and processes, particularly in the area of qualification development
- Experience of the formal monitoring of procedures or auditing
- Experience and understanding of education regulation
- Good understanding of qualification and assessment processes across both general and vocational qualifications
14
Toxicology Regulatory Advisor Resume Examples & Samples
- Undergraduate degree, preferably toxicology
- Master degree preferred in toxicology
- Minimum 5 years work experience in regulatory affairs for a chemical company
- Experience conducting chemical risk assessments for use with US EPA or ECHA
- Strong analytical, organizational, reporting, presentation, and oral and written communication skills
- Experiencing managing successful cross-functional projects to completion
15
Senior Advisor RC Regulatory Development Resume Examples & Samples
- Broad knowledge of both regulatory and financial crime compliance risks and industry good practices in managing them across jurisdictions and businesses, especially in the context of managing regulatory relationships
- Extensive knowledge of the HSBC Group structure, its business and personnel, and a deep understanding of HSBC’s corporate culture
- Excellent communicator with strong inter-personal and influencing skills
16
Regulatory Compliance Advisor, Air Resume Examples & Samples
- Submit all air-related monthly and annual reporting under the Fort Hills Environmental Protection and Enhancement Act approvals and other applicable regulations (national pollutant release inventory, greenhouse gas emissions, flaring)
- Provide oversight and mentorship specific to regulatory compliance obligations for air quality, including but not limited to: quality assurance and quality control of air data, coordination of third party air sampling on site and collaboration with regional and technical groups
- Perform internal audits on environmental regulatory compliance processes as assigned
- Ensure that all approvals are obtained, regulatory compliance is achieved, and documentation is completed in a timely manner
- Identify and ensure regulatory requirements are interpreted and added to the project legal registry (PLR) and regulatory compliance tool
- Implement applicable findings from gate reviews, audits, assessments and incident investigations
- Coach and mentor all internal employees on their responsibilities and accountabilities surrounding the regulatory compliance tool and overall obligations
- Five or more years of experience in a regulatory compliance or environmental role
- Experience in the oil and gas industry is preferred
- Post-secondary education, preferably in engineering or science
- Knowledge of air-related regulations and regulatory approvals within Alberta and across Canada
- Proficient with the Microsoft Office suite
- Ability to work collaboratively with diverse internal and external partners, manage conflict and make strong decisions
- Adaptive work style with an ability to handle multiple priorities, challenging demands and function in a dynamic work environment
17
Senior Regulatory & Market Affairs Advisor Resume Examples & Samples
- Monitor regulatory and ISO/RTO stakeholder proceedings and communicate business implications to origination, development, construction, asset management, and marketing teams
- Lead cross-functional teams to establish priorities of various market issues and initiatives while developing and advocating Renewables BU positions in regulatory and ISO/RTO stakeholder processes
- Assist with interpretation of existing and proposed regulatory market rules as they apply to the development, interconnection, and operation of existing and prospective generation projects
- Provide regular reports to Renewables BU stakeholders regarding key regulatory market initiatives and events, while identifying associated commercial risks and opportunities
- Participate in various industry groups dealing with transmission interconnection and market issues to advocate on behalf of Renewables BU projects and policy initiatives
- Establish and maintain strong professional relationships with ISO/RTO staff, state utility commission personnel, and other key industry stakeholders
- Attend relevant state public utility commission and ISO/RTO stakeholder meetings in order to monitor and/or advocate issues of importance to the Renewables BU
- Partner with other companies and/or stakeholders to advocate for favorable policy outcomes that align with Renewables BU’s present and future commercial interests
- Facilitate participation in trade association efforts related to regulatory and commercial policy on market and transmission issues
18
Senior Regulatory Advisor Resume Examples & Samples
- Analyzes data provided from multiple platforms (Duplex, Coda, GTD). Creates reports resulting in meaningful information and recommendations to ensure compliance with established service quality indicators, corporate policy (including Sarbanes-Oxley cash controls), and government regulations
- Identifies resources from government and trade publications for inclusion on the regulatory library to ensure that the latest information is available for FTN operations and support departments
- Provides guidance to FTN regulatory management and associates when dealing with difficult questions of a financial nature including the billing system, proper accounting to customers and cash flow management
- Identifies pending regulatory changes and analyzes effect on FTN and customers. Presents recommendations for process enhancements and represents regulatory compliance on cross-functional/cross-departmental teams
- Participates in sensitive and privileged investigations with senior manager and managing director. This includes data gathering, information analysis, recommendations and execution of initiatives and mandates
19
Regulatory Advisor Resume Examples & Samples
- Assist with monitoring of regulatory and policy developments at federal and state agencies (ie. FERC, DOE, State Public Utility Commissions, CFTC re: Dodd-Frank), summarizing significant developments and disseminating the information as appropriate
- Oversight and responsibility for maintaining compliance filing management system (CFMS); includes monitoring for all required filings & licenses, managing notification system for all regulatory reporting requirements and assisting with filing applications for permits/licenses required for BP Energy Company’s business
- Develop working relationships with Commercial and Finance & Risk teams to understand new business activity and assess impacts to reporting requirements
- Monitor State of Emergency declarations in key state/federal jurisdictions, maintain appropriate distribution lists and disseminate information as appropriate
- Support broader team initiative of collaborating across Trading and Supply North America businesses by engaging with Oil Regulatory and Communications & External Affairs peers
- Assist in preparing internal and external presentations/materials as required
- Experience with and understanding of energy commodities (power, natural gas, natural gas liquids) and regulatory policies
- Strong writing and presentation skills, including a proficiency with Microsoft products and other desktop applications/publication software, database management
- Ability to read and assimilate copious amounts of material and summarize into key insights
- Ability to research public policy issues and sum up succinctly for business leaders
- Intellectual curiosity about the regulatory/policies affecting North America Gas and Power’s marketing & trading businesses
20
Regulatory Advisor Resume Examples & Samples
- This Regulatory Analyst role is part of the larger Regulatory team of BP’s North America marketing and trading business (referred to as North America Gas & Power or NAGP), responsible for monitoring regulatory and legislative developments, filings and proposals to identify issues and trends that may impact NAGP’s commercial businesses
- The market environment continues to change in North America and around the world, with constantly changing regulations/policies affecting our physical businesses as well as our financial derivatives offer. The successful candidate will have a high degree of interest in public policy development and its impact on BP’s businesses, and the flexibility to handle an ever-changing array of assignments
- This role provides an excellent development opportunity for a high performing individual who is looking to build a deeper understanding of NAGP’s business. It requires a strong network across Commercial teams (Origination, Transportation & Operations) as well as regulatory and marketing/analytics peers across BP’s global marketing and trading business (referred to as Trading and Supply) and the broader BP organization
- Understanding of legislative and administrative US governmental processes (Canadian understanding is an additional benefit)
21
Senior Specialist Advisor Regulatory Oversight Resume Examples & Samples
- Establishing, managing and building regulatory contact networks in United Kingdom and Ireland (UKI) and EMEA
- Engaging with the highest levels of COO senior management to capture and track regulatory commitments and producing Management Information (MI) as required
- Completing special projects related to regulatory commitments and transaction reporting such as Financial Conduct Authority (FCA) Markets in Financial Instruments Directive (MiFID) final notice analysis across the banking sector
- Conducting read across / lessons learnt deep dive audits related to transaction reporting covering both regulatory and operational processing and controls
- Assisting in the development of the risk model, testing methodologies and control governance framework
- Managing the accurate completion and regular review and maintenance of all regulatory oversight Key Operational Procedures (KOPs)
- Compiling Key Performance Indicators (KPIs) for the function and other MI as required
- Governing the UKI and EMEA regulatory transaction reporting issues Log covering FCA MiFID, Bank of England (BoE) Sterling Money Market Data (SMMD), German MiFID, Bundesbank Issuance and Money Market Statistical Reporting (MMSR); including issue tracking, analysing trends and producing dashboards / heat maps for senior management
- Performing meaningful analysis of transaction reporting issue related information, correlating new data to identify trends that demand senior management attention
- Managing all FCA MiFID replay activity through to remediation
- Managing the FCA MiFID regulatory transaction reporting completeness testing process
- Developing and producing regulatory transaction reporting MI for senior management
- Managing the accurate collation of the transaction reporting oversight committee MI pack
- Superior organisational, communication and analytical skills with the ability to interface in a multicultural environment on all hierarchical levels
- Excellent multi-tasking skills, the ability to balance priorities and deliver assignments with superior quality and with limited supervision
- The ability to work autonomously and as part of a wider team
- An excellent team player, flexible and a proven ability to work in a high pressure environment
- Self-confident, uses own initiative and have the ability of managing conflicts
- A proven track record for creative problem resolution
- Good analytical and data interpretation skills
- A sound understanding of risks and controls
- A strong understanding of regulatory principles and at least a basic understanding of transaction reporting requirements
- The ability to learn new concepts quickly and have confidence to work through unfamiliar tasks
- A good working knowledge of Microsoft Office and Share Point
- Educated to degree level or equivalent qualification or experience
- Fluent in English
22
Regulatory Packaging Advisor Resume Examples & Samples
- Entry level experience in the food/drinks industry or FMCG environment as a minimum
- Knowledge of packaging materials used in the soft drinks industry and an overview of emerging technologies that could support future business growth
- Ability to interpret information in a clear and concise manner
- Knowledge and understanding of EU packaging legislation
- An understanding of the composition of soft drinks and the technical purpose of the ingredients used in them
- Ability to balance workload under pressure and being able to manage competing demands
- A high level of attention to detail, taking responsibility for day to day tasks and processes
- Self-motivation and the ability to work independently when required
- Good organisation skills and the capability to manage multiple projects
- Flexibility to travel across sites as and when required
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Regulatory Advisor Resume Examples & Samples
- A degree level qualification (essential)
- A minimum of 2 years post qualification experience in a commercial / contract or regulatory law environment (desirable)
- A good understanding of commercial / contract law (essential)
- Knowledge of construction / procurement law or networks regulation (desirable)
- Strong contract drafting and negotiating experience
- Excellent communication and interpersonal skills, including the ability to provide pragmatic and ‘user friendly’ advice and support
- Proven experience of advising internal stakeholders on key risk areas
- The ability to manage regulatory and industry relationships
- Excellent IT skills
- Highly organised with a results focus and comfortable working to short deadlines
- Ability to prioritise, with a “can-do”, calm and cheerful attitude under pressure, high energy and a constructive approach to providing solutions
- Ability to conduct research into complex legal / regulatory issues
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Regulatory Advisor Resume Examples & Samples
- MS or BS plus equivalent experience in a physical science, engineering or related field
- 4-7 years’ experience in the regulatory field
- Strong analytical, strategic, organizational, reporting, presentation, and communication skills
- Ability to work independently and as part of an international team
- Proficient in MS-Office applications and database software
- Proven track record to simplify processes
- Knowledge of global product regulatory schemes
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Senior Regulatory Business Advisor Resume Examples & Samples
- Assist Retailer personnel and suppliers where applicable with training for store-level use of WERCSmart data including transportation, storage, packaging, disposal, reverse and forward logistics, of merchandising product in accordance with local, state and federal regulations for overall retail process, and assist with implementing process improvements
- Assist Retailer team and their suppliers with other UL Supply Chain and Sustainability solutions, like PURview, ItemScan, etc… Participate in and assist Retailer with the review of the results of periodic audits of compliance at the stores, master data and distribution centers for appropriate shipping, handling, storage, packaging, data management, disposal of product, reverse and forward logistics of merchandising product in accordance with local, state and federal regulations for overall retail process and assist with implementing process improvements based on gaps and opportunities identified
- Participate in and assist to conduct an audit of Retailer data periodically to identify and resolve gaps in data accuracy for compliance classification in accordance with local, state and federal regulations
- Conduct and assist with an annual review of the Retailer-UL data exchange process to identify and resolve issues with data accuracy and address any delay/gaps in sending, processing and receiving data including any supplier compliance and training as required
- Participate in the review with Retailer of Retailer’s processes, procedures, and systems for its stores, master data and distribution centers, regarding shipping, storage, packaging, disposal, reverse and forward logistics, of merchandising product in accordance with local, state and federal regulations for overall retail process. And assist with implementing process improvements to identify and help resolve any compliance gaps
- Identify opportunities and recommend solutions to improve the processes of the Retailer and their suppliers on a global basis
- Represent UL in retailer and Supplier meetings
- Assist with coordinating and participate in monthly and quarterly business reviews of the specific services provided to Retailer
- Assist with coordinating and participate in quarterly senior leadership meetings as requested by Retailer with UL Senior Leadership
- Additional Expectations from the of position: Liaison between all functional groups in UL and throughout the retailer Build and maintain a professional rapport with Retailer team Follow existing, and propose updates to, company and departmental policies and procedures Remain current on client preferences, changes in regulations and legislations, and product developments by attending required meetings, training, trade shows or reading bulletins and other correspondence as required by manager
- Develop “lessons learned” documentation
- Perfoms other duties as assigned
- Technical degree (BS/BA Degree in a Science Field (i.e. Toxicology, Biology, Chemistry, Environment, Engineering) required Regulatory or Compliance experience, preferable in the retail sector Business Development background in the EHS, compliance, product safety or advisory field
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Regulatory Advisor Resume Examples & Samples
- Independently research, define, analyze, develop, and recommend solutions/ opportunities relating to systems, marketing, product, and service development for high impact, complex business needs
- Provide comprehensive analysis and guidance on regulations
- Lead efforts to respond to regulators, clients and key stakeholders on business and regulatory matters
- Monitor reports and collaborate with various business areas to provide solutions for complex customer needs
- Implement new policies, procedures, workflow approaches, and system enhancements. Coordinate and/or control components of a project, and/or may serve as project manager for projects related to area of expertise
- Develop, document, and maintain communication, documentation, and training through a variety of methods and mediums
- Perform other job-related duties and special projects as required
- Bachelor's degree or equivalent of 8 years’ work experience
- 4+ years related experience. (Regulatory, compliance, etc.)
- Experience working with Annuities products is preferred
- Active FINRA Series 6 or 7 required
- May need to become an associated person of Princor, which requires fingerprint and a full background check
- Strong decision-making, problem solving, oral and written communication, organizational, and time management skills
- Technical competence in the administration and servicing of Pension plans
- Must be a self-starter who can work independently and with people at all job levels
27
Senior Advisor, Power Regulatory Resume Examples & Samples
- Measure, assess, analyze, and recommend strategic direction on policy, structural, regulatory, operational and commercial changes associated with the Alberta climate leadership plan and the market structural changes
- Advise on our existing and future strategic positioning to improve commercial viability and profitability
- Assist and advise on commercial negotiations related to existing generation as well as future generation growth projects
- Provide expertise and support to market analytics in assessing and modelling existing and future market outcomes to optimize existing generation and future projects
- Work with internal multi-disciplinary teams to analyze and appropriately communicate power-related issues and ensure we properly respond to market changes
- Attend, analyze and report on industry partner initiatives and consultations, particularly as they relate to the conception and implementation of market and regulatory structural change
- Represent Suncor at industry peer group meetings, such as Canadian Association of Petroleum Producers, Independent Power Producers Society of Alberta and Industrial Power Consumers Association of Alberta
- Monitor and assist, as part of the broader Suncor commercial team, in analyzing regulatory and structural changes to the Ontario market that may affect our existing and future business
- 15 or more years of experience in Alberta regulatory and commercial arena
- Previous experience managing market related regulatory files, applications and interventions and negotiating financial and physical commercial arrangements with power market counter-parties including; purchase and sale agreements; tariffs and general terms and conditions; market and competition administration and regulation
- In-depth understanding of power market economics and regulatory structures, including knowledge of the commercial power market and commercial structures
- Deep understanding of the fundamentals of North American electricity markets, including functioning capacity and energy markets, day-ahead market scheduling, locational marginal pricing, transmission and operations
- Working knowledge of the North American and Alberta natural gas market and their relationship to electricity generation in the province
- High degree of inter-personal, communication and analytical skills
- Strong ability to lead and /or influence internal and external working groups
28
Regulatory Control Advisor Resume Examples & Samples
- Overseeing complex and protracted special investigations from law enforcement referrals and escalations from threat analytics team
- Directing a global approach to investigations
- Collating results from regions
- Drafting Reports on cases and Investigations to a very high standard due to seniority of stakeholders
- Co-ordinating and project managing investigations and global activities for the Investigations team
- Providing consistent, robust and defensible decisioning to cases to comply with relevant legislation and regulations i.e. Proceeds of Crime Act, Money Laundering Regulations etc
- Identifying current AML / CTF typologies / trends and keeping abreast of emerging ones, ensuring the team are suitably trained to understand the same in order to be able to robustly identify issues of concern
- Preparing briefing packs for 1st and line stakeholders, senior management and board members
- Overseeing the preparation of regulatory and law enforcement updates and self-reporting requirements
- Acting as the conduit for facilitating and co-ordinating communications with relevant parties pre & post filing of any SARs i.e. Relationship Managers, AML Advisory, Regional FIUs etc
- Disseminating knowledge and good practice through the provision of on-going training to all investigators
- Providing guidance and support to investigators, providing advice as required as well as day to day support
- Quality assuring and evaluating cases for potentially suspicious transactions escalated from colleagues and team members, further escalating to senior AML Management as necessary
- Managing own investigations whilst providing oversight and governance to team investigations, SAR filing, external referrals including Business Intelligence Unit, Sanctions, Anti-Fraud, Bribery and Corruption
- Managing investigative productivity at an individual and team level, dealing with any associated performance and development issues
- Providing feedback to the Data and Analytics team where packages or profiles are not delivering results as expected, identifying any potential AML / CTF gaps
- Acting as the primary contact for Information Technology (IT) used by special investigators in respect of all User Acceptance Testing (UAT) systems support and to be the designated approver thereof
- Extensive and relevant investigative experience
- Proven financial investigation experience, preferably accredited financial investigator
- Strong AML / CTF knowledge with relevant experience in either an AFC, Legal, Compliance, Law Enforcement or Regulatory background; preferably within or working with the Financial Services industry
- Experience in managing a Financial Crime Investigations team
- Knowledge or experience of criminal taxonomies applicable to money laundering and terrorist financing
- Knowledge of key Fintech systems beneficial i.e. MANTAS, Actimize etc
- Competent in the use of Open Source Intelligence (OSINT) and Financial Intelligence (FININT)
- Demonstrable experience in planning and managing complex cross border investigations of a sensitive nature
- Educated to Bachelor’s degree level (or equivalent qualification / work experience)
29
Product Stewardship & Regulatory Affairs Advisor Resume Examples & Samples
- Provides leadership, regulatory support and subject matter expertise covering the following PS&RA activities
- Assesses regulatory environment’s impacts on business
- Establish compliance basis for all ExxonMobil Chemical products
- Evaluate impact of regulatory changes
- Evaluate impact of business initiated changes from a regulatory perspective
- Perform detailed impact assessments, develop and implement compliance plans
- Provide guidance on future regulatory trends for consideration in business strategy development
- Enable our business to be competitive and maintain license to operate via robust compliance strategy
- Be the technical regulatory expert in one or more of the following: Food Law, Dangerous Goods, Hazard communication, Chemical Control Laws
- Interface with other Functions/Businesses to ensure effective & efficient information exchange of relevant regulations, laws, policies
- Drive collaboration and synergy capture in PS&RA functions across all businesses
- A minimum of 5 years of experience in a similar role; some operations/plant or product technology in polymers experience preferred
- Minimum of a Bachelor’s degree in a technical field
- Strong interpersonal and organizational management skills
- Positive Attitude; Good Team Player
- Self-motivated and ability to work with minimum supervision
- Possess strong safety leadership and demonstrated commitment to safety
- Good communication, influencing, and analytical skills
- Experience working with people from different cultural backgrounds preferred
- Ability to work with various levels of the organization
- Occasional teleconferences outside of normal working hours required
30
Regulatory Advisor Resume Examples & Samples
- Experience within financial services (investment management/banking/insurance), is desirable
- Must possess good communication skills with the ability to be assertive
- Must be a detail-oriented, self-starter with strong organizational skills
- Superior interpersonal skills necessary to effectively interact and communicate with other team members and senior stakeholders
- The ability to multi-task on various projects and prioritize amidst competing demands
- Good verbal and written communication skills combined with ability to listen effectively
- Good troubleshooting and problem solving skills
- Action-oriented. Able to establish priorities, meet deadlines, and concentrate on detailed information in a fast-paced demanding work environment
- Knowledge of Investment Management industry, data and processes is a plus
- Understanding of trade and client lifecycle is desirable
31
Senior Regulatory Control Advisor Resume Examples & Samples
- Delivering key risk remediation programs
- Building a dynamic risk scoring tool to aggregate and consistently model desperate risk data and increase risk awareness
- Improving the quality of COO CIB risk profiles / control packs and production efficiency
- Managing the right risk - improving root cause analysis to ensure that the cause of any identified risk (incident, assessment, audit) is clearly defined
- Challenging control remediation plans and implementation designs to ensure they are strategically aligned, smart and reduce risk
- Strengthening issue remediation oversight and maintaining a forward looking view on remediation health
- Building efficient controls - assessing key strategic initiatives to ensure efficient controls are being built and integrated using sustainable technology practices
- Focusing on the delivery of stakeholder value – continued build out of team skills, partnering with other control functions and building professional relationships
- Significant experience in both Project Management and Risk Management
- Demonstrates understanding and application of program management models
- Runs broad-scale projects across locations and / or products
- Solid understanding of risk management principles
- Experience in developing and running effective risk governance
32
Compliance Advisor for Regulatory Compliance Resume Examples & Samples
- Maintain compliance oversight on and provide advisory support to international branches and financial subsidiaries of OCBC Bank
- Conduct onsite review on international branches and track resolution of issues identified from the onsite review
- Prepare periodic compliance risk reports for senior management and Board of Directors
- Maintain regulatory compliance matrix applicable to financial subsidiaries and international branches
- LI-EN
33
Senior Offshore Regulatory Policy Advisor Resume Examples & Samples
- Develop and lead Shell’s strategy to address critical emerging policy issues related to air quality, offshore safety and operational constraints, water discharge, and certain royalty and financial requirements. Includes scientific review of environmental analyses and development of technical comments, in close coordination with other disciplines, in response to emerging regulations
- Coordinate, advise, and provide inputs to support regular accountability meetings and supporting workstreams
- Maintain awareness of advances in governmental policy development, work w/team to design &coordinate scientific studies within Shell and w/partners, and otherwise balance scholarly criticism and commercial mindedness to the review, interpretation, and use of sound data in support of government regulation and policy
- Develop strong foundational understanding of business needs, priorities, and operational realities to inform Shell’s efforts and engagements w/key stakeholders to promote informed discourse on safety practices, ocean resources use and protection, environmental issues, leasing, and energy policy. Become trusted advisor and expert on US offshore operations to relevant government stakeholders
- Engage in outreach efforts with regulatory agencies, think tanks, appropriate industry partners, academic institutions, and non-governmental organizations on aligned regulatory priorities
- LI-MA
34
Dbmn-regulatory Advisor Resume Examples & Samples
- Excellent technical AML knowledge skills and experience, and demonstrated hands-on experience
- Understanding one or more of the business areas of investment banking, corporate banking, trade finance, and risk profile of each category
- Strong interpersonal and influencing skills
- Attention to detail
- Performance orientation
- Teamwork and communication
- Ability to work independently and prioritize tasks under pressure
- College Graduate
- Extensive experience in a regulator or financial institution
- Excellent proficiency in written and verbal English required
35
Regulatory Advisor Resume Examples & Samples
- Seven or more years demonstrated knowledge of and experience with advanced financial, accounting and/or tax concepts
- Outstanding analytical, problem assessment and problem solving skills
- Ability to independently evaluate, recommend and advocate courses of action in response to inquiries
- Effective oral communication, written communication, and presentation skills
- Ability to train, coach, and mentor less-experienced co-workers
- Ability to be an expert witness
- Rudimentary knowledge of operations and/or engineering concepts
36
Regulatory Control Advisor Resume Examples & Samples
- Coordinating and project managing investigations and Global activities for the Investigations team
- Acting as the conduit for facilitating and coordinating communications with relevant parties pre & post filing of any SARs i.e. Relationship Managers, AML Advisory, Regional Financial Intelligence Units (FIUs) etc
- Quality assure and evaluate cases for potentially suspicious transactions escalated from colleagues and team members, further escalating to senior AML Management as necessary
- Providing feedback to the Data and Analytics team where packages or profiles are not delivering results as expected, identifying any potential AML/CTF gaps
- Proven relevant investigative experience Assistant Vice President (AVP) / Significant relevant experience Vice President (VP)
- Strong AML/CTF knowledge with relevant experience in either an anti-financial crime, legal, compliance, law enforcement or regulatory background; preferably within or working with the Financial Services industry
- Experience in managing an Financial Crime Investigations team
- Educated to Bachelor’s degree level or equivalent qualification / work experience
37
Regulatory Control Advisor Resume Examples & Samples
- Identify, assess, and conduct impact analysis on all relevant new and amended rules and regulations in the US and globally
- Coordinate with relevant stakeholders and track the implementation of any required changes to current policy / practice as a result of new and amended rulemaking
- Advise on all action planning deliverables for relevant rulemaking (including front and back office system developments/enhancements and monitoring/surveillance needed)
- Draft and update presentations and other senior management reports related to rulemaking and regulation
- Draft and update policies/procedures, compliance alerts and training to conform to new regulations and rule requirements
- 4-5 years of general broker-dealer / investment advisory / asset management regulatory experience, preferably in an investment bank or law firm
- Legal degree from US accredited law school
- Good knowledge of applicable SEC (33 Act, 34 Act and 40 Act), FINRA, MSRB, CFTC, NFA, Fed, NYSE and other federal securities and banking laws, rules and regulations
- Must be analytical, proactive and have a structured and organized approach, which demonstrates a high level of attention to detail to ensure that high quality deliverables are produced
- A positive and flexible approach is required to operate in DB’s constantly changing environment
- A team player that is always looking to improve and provide better support
- Excellent oral and written communication skills proven through experience of MI reports and statistics delivered to senior management
- Ability to project confidence and professionalism in all dealings with business personnel
- MiFID II / global regulatory experience a plus
- Infrastructure regulatory experience a plus
38
Regulatory Control Advisor Resume Examples & Samples
- Ensuring the Risk Appetite Statement (RAS) Framework is appropriately structured to meet regulatory expectations, the requirements of the Non-Financial Risk Management Framework and management expectations, in articulating Deutsche Bank’s financial crime risk appetite and subsequently measuring performance against appetite and tolerance
- Defining and implementing the Risk Appetite Statement Team Operating Model (systems, processes, people) in order to meet the requirements of the RAS Framework delivery in a timely, robust and resource efficient manner
- Acting as the Key Customer for RAS Metric related data to the AFC Risk, Controls & Analytics (R&CA) Metrics & Management Information (MI) pillar. This will include the definition of reporting requirements related to the provenance, definition, format and timeliness of reporting
- Providing insight and advisory support to the respective AFC functional pillars, Divisional Control Officers and other stakeholders on topics including but not limited to Global Risk Appetite definition, lifecycle, supporting processes, reporting and 1st Line of Defence (LoD) Risk Appetite Statement development
- Identifying, developing and articulating potential changes and new initiatives to improve the RAS Framework and Target Operating Model in line with current and emergent industry best practice
- Acting as the lead point of contact (POC) for Financial Crime RAS related matters
- Participating in R&CA, AFC, Mercury and Operational Risk Management (ORM) forums as required
- Adopting a cross cutting perspective to identify potential opportunities for alignment, synergy and improved efficiency with AFC Risk Assessment activities in order to enhance both individual functional programs of work and overall consistency in the identification, quantification and mitigation of financial crime risk
- Self-identifying / overseeing RAS related audit issues aligning resolution and remediation
- Contributing to the development and implementation of an internal communications strategy to ensure transparency and consistency in messaging on the RAS framework, programs and plans
- Contributing RAS specific input to the external communications strategy for the RC&A function to ensure clear and consistent messaging to Auditors and Regulators around the RC&A function’s framework, programs and plans
- Experience in Financial Services with a good understanding of core banking products, front-to-back processes and market / regulatory trends
- An understanding of the core responsibilities and processes of the AFC area
- Analytical skills – manipulating and analysing data, identifying trends and producing insightful MI reporting that prompts inference and action
- Experience in working in a global organisation
- Very good communication skills (written and verbal)
- Ability to prioritise and deliver according to strict timelines and quality standards
- Previous experience in managing consultants and the ability to initiate the transfer from a consultant led to a permanent employee led function delivery model (beneficial)
- Proficient in the use of Microsoft Outlook, Excel, Word and PowerPoint
- A committed individual with a strong desire to be successful and to keep updated with the latest standards / techniques
39
Regulatory Advisor Resume Examples & Samples
- Developing Deutsche Bank positions and responses to public consultations, on key prudential regulatory issues
- Ensuring a particular emphasis on Basel Committee and EU proposals on: capital and liquidity requirements, macro-prudential issues, frameworks for systemically important banks, and other prudential limits
- Developing and delivering Deutsche Bank’s advocacy strategy on prudential issues to relevant official sector bodies, particularly to EU and international institutions but also to other jurisdiction bodies as required
- Providing support to Group Regulatory Advisory (GRA) team members focused on related financial stability topics, such as shadow banking, resolution and total loss-absorbing capacity. Managing differing positions across business lines and infrastructure functions to align views and prioritise policy issues
- Helping to develop effective processes for updating and communicating key regulatory developments within the bank, in particular the flow of information on key prudential issues to Management Board and senior management
- Understanding and articulating relevance of global / EU / United States / Asia-Pacific developments and ensuring senior management are sighted on prudential regulatory developments that impact Deutsche Bank globally
- Representing Deutsche Bank on prudential committees at a number of trade bodies and other public fora to ensure effective support for Deutsche Bank priorities
- Contributing to GRA communications, such as daily briefing, forward look, position papers and external presentations
- Contributing to continuing to raise the profile of the Regulatory Policy team and Regulatory Affairs division via engagement with internal stakeholders and client support
- Drafting of position papers, internal and external presentations, to advance understanding of issues
- Contributing to continuing to raise the profile of the policy team via engagement with internal stakeholders and client support
- Experience of working on prudential policy issues
- Experience of interactions with regulators and knowledge of the policy development process in EU and other regions
- Familiarity with the Basel Committee on Banking Supervision’s framework on capital, liquidity and leverage
- Understanding of EU capital requirements framework and how they interact with global prudential rules
- Good understanding of the how the bank funds and manages its balance sheet
- Experience in putting together presentations and documents for senior management
- Excellent oral and written communication skills and maturity in dealing with senior management, colleagues and tasks. Must possess the ability to express complex ideas and arguments clearly and effectively
- Capable of managing multiple projects in parallel and prioritising time to ensure tight deadlines are met
- A problem-solver with the ability to build and sustain relationships and handle conflict and pressure
- Educated to Bachelor’s degree level ( or equivalent qualification / work experience)
- Post graduate qualification (beneficial)
- Strong written and oral English, German (beneficial)
40
Advisor Regulatory Services Resume Examples & Samples
- Lead and support the development of strategy for toll and rate design
- Lead and support the development of toll/rate and service applications to both US and Canadian regulators
- Provide timely and quality support for business activities including the drafting, negotiation and interpretation of commercial agreements, identification of regulatory risks and the development of mitigation strategies, regulatory applications including petitions, settlements, protests and cost of service filings
- Possesses a thorough understanding of NEB/FERC regulatory requirements and tariff and compliance filing procedures
- Work within standard financial and economic models, existing toll agreements, regulatory frameworks, standard research methodology, and independently completing work up to pre-established check points
- Involves the completion of assigned projects or assigned components of larger projects relating to regulatory filings, financial and cost of service modeling, economic modeling and forecasting
- Conduct regulatory research and analysis to support regulatory proceedings and business development initiatives
- Maintain and monitor compliance with existing agreements, which govern various existing Enbridge assets
- Draft position papers and make recommendations on subjects related to the regulatory toll/rate environment and potential impacts to Enbridge
- Deliver presentations on various regulatory issues and tolling matters to both internal and external stakeholders
- Assist in drafting open season documents and financial agreements
- Track competitiveness of Enbridge tolls, rates and terms of service
- Serves as a liaison with both internal and external stakeholders
- Some supervision of junior staff
- Four or more years of directly related regulatory and/or business experience
- Strong oral and written communications, presentation, and interpersonal skills
- Ability to work effectively in a team environment, as well as independently
- Strong research, analytical, and problem solving skills
- Familiarity with Microsoft Excel, Word, PowerPoint, Outlook
- A thorough understanding of FERC and NEB ratemaking processes and procedures would be considered an asset
41
Regulatory Control Advisor Resume Examples & Samples
- Test the design adequacy and operating effectiveness of key business Level 1 (L1) controls that mitigate compliance-owned risk types, using a risk-based approach
- Publish reports documenting the testing performed and any issues identified
- Agree remediation actions with the business and track these actions to completion
- Report on progress against execution of the Testing Plan and completion of remediation actions
- Identifying the scope and testing approach for reviews in line with the CCT methodology
- Creating, maintaining and executing the Compliance Control testing plan
- Conducting fieldwork in line with the agreed test programme and adequately documenting tests and findings
- Developing recommendations for corrective action based on review findings
- Producing reports that present review results, articulating the rationale for findings, the risks posed and actions required to address those risks
- Working with Business Line Compliance Officers and management to agree on appropriate action plans
- Tracking agreed actions through to conclusion and reporting on progress upon completion of reviews
- Developing and maintaining a broad knowledge of the Bank’s business and regulatory framework in which it operates
- Reviewing and assessing new regulation impact on CCT
- Key stakeholders including Business Line Compliance Officers, Business Divisions and other Infrastructure / Control functions at all levels including senior stakeholders
- Previous experience of controls testing and reviews in an investment bank
- Extensive experience in compliance risk, audit or similar review function
- Knowledge of relevant FCA rules and regulatory change, including compliance processes/ procedures
- Good understanding of the key risks and regulatory framework as they impact Corporate Finance
- Ability to work collegially and collaboratively in a team setting
- Ability to generate innovative ideas and challenge the status quo
- Excellent teamwork and stakeholder management skills, including supporting the wider team, liaising with Senior Management and securing appropriate outcomes from challenging issues
- Outstanding interpersonal and communications skills characterised by the ability to listen, to speak and to write well
- Robust analytical skills
- Strong MS Excel, Word and PowerPoint skills
- Adaptability to new programmes in an emerging and changing environment
- Action oriented with a strong focus on completing tasks with accuracy
- Delivery focused; demonstrating an ability to work under pressure and within tight deadlines
42
Regulatory Control Advisor Resume Examples & Samples
- Manage business and infrastructure related regulator inquiries, regulatory examinations, enhanced continuous monitoring reviews,
- Coordinate and directing communications from and to the regulators; draft responses as needed
- Contribute to monthly departmental reporting; exercise strong summarization and writing skills
- Manage day to day tracking of requests, monitoring FINRA Gateway messages, and ensuring that all are handled in a timely manner
- Communicate broader and emerging themes to stakeholders both internal and external, be able to initiate dialogue on a wide range of industry-related issues
- Stay current on relevant regulations and regulatory guidance’s, for particular products be a subject matter expert, e.g., futures and options
- Exhibit a strong understanding of the firm’s management structure and ability to be a culture carrier within the department and without
- Attend trainings and meetings to continue to expand knowledge base
- Train others on the team and collaborate within the department
- Escalate as necessary so that satisfactory outcome is achieved for regulator and the firm
- Work with global colleagues to ensure consistency of the DB regulatory interactions in every region
43
Regulatory Monitoring Advisor Resume Examples & Samples
- To contribute to the regulatory monitoring of qualifications and assessment services in development in a planned programme of activity against regulatory and policy criteria, ensuring that procedures and quality standards are maintained
- To raise and manage risks, and produce reports to support regulatory monitoring, activities
- To contribute to the annual monitoring plan, with particular focus on qualifications and assessment services, both within regulatory UK jurisdictions and internationally
- To contribute to the provision of a customer-focused regulatory advice service to internal stakeholders
- To lead on projects, as directed, and produce regulatory reports in support of our ongoing recognition against Ofqual General Conditions, SQA Principles, and other regulatory requirements as appropriate
- To undertake specified services in the team to support high quality regulatory requirements, such as framework and qualifications development and compliance, levelling, monitoring of marketing and publishing activity
- To contribute to the development of a high performing team and its function, utilising up to date regulatory knowledge
- To establish and maintain constructive working relationships with key internal stakeholders
- Support the broader work of Business Improvement and Regulation when required to do so
- Solid understanding of the regulatory environment and regulatory requirements
- Good understanding of the education/training environment
- Experience of writing briefings, reports and business correspondence
- Knowledge of quality mechanisms and processes, particularly in the area of qualification development
- Experience of the formal monitoring of procedures or auditing
- Experience and understanding of education regulation
- Good understanding of qualification and assessment processes across both general and vocational qualifications
