Regulatory Analyst Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the regulatory analyst job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.

USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.

SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Create a Resume in Minutes

B Wyman

Branson

Wyman

145 Zieme Rue

Chicago

+1 (555) 735 9921

145 Zieme Rue

Chicago

Phone

p +1 (555) 735 9921

Experience Experience

Houston, TX

Regulatory Analyst

Houston, TX

Skiles, Koch and Wolf

Houston, TX

Regulatory Analyst

Review and prepare regulatory filings to the SEC or other regulating agencies/authorities. Promptly identify and elevate issues of concern for review. Ensure filings and other documentation are prepared in a timely and complete manner in accordance with departmental procedures. Review calendars and other resources to ensure same. Effectively employ job-specific technology in preparing filings and other disclosure-related materials. Interact with other divisions within MFS and external business partners/vendors to finalize disclosure and assist in the development of procedures to enhance the quality of and flow of work. Offer suggestions to improve the drafting and review processes
Develop and review regulatory filings with the SEC or other regulatory agencies/authorities. Promptly identify and elevate issues of concern for review. Ensure filings and other documentation are prepared in a timely and complete manner in accordance with departmental procedures. Review calendars and other resources to ensure same. Effectively employ job-specific technology in preparing filings and other disclosure-related materials. Negotiate with other internal and external parties to bring matters to fruition. Interact with other divisions within MFS and external business partners/vendors to finalize disclosure and to develop procedures to enhance the quality and flow of work. Offer suggestions to improve the drafting and review process
Participate in specialized projects that involve multiple concerns throughout MFS, its funds and its subsidiaries. Interact with others to achieve project goals and ensure timely and efficient production. Work closely with internal clients and external business partners/vendors to complete assigned projects accurately and on time. Analyze process with various departments at MFS, external business partners/vendors, and clients to seek process improvements. Negotiate and resolve issues with concerned parties. Interact with counterparties and vendors, evaluate products and services, resolve issues with same, etc
Responsible for managing regulatory functions for Health plans, including state regulatory filings, report submission, handling member and provider complaints via an Agency portal
Proactively seek to improve systems, data management processes and their functionality
CIMA Reports (CIQPR, LBS & CPIS) - "Cayman Islands Quarterly Prudential Returns," "Location Banking Statistics Survey" & "Coordinated Portfolio Investment Survey"
An aptitude for analytical work and an interest in that work is necessary

San Francisco, CA

Compliance Regulatory Analyst

San Francisco, CA

Auer, Gutkowski and Johnston

San Francisco, CA

Compliance Regulatory Analyst

Assist work stream and sub- work stream leads with investigation, analysis and and resolution of implementation issues
Assist with training staff on Compliance and HIPAA
Assist with member materials and marketing approvals
Assist with State Compliance Audits
Arrange regular and ad hoc work stream, sub work-stream and cross function workshop meetings including preparation of agenda, presentation materials and minutes
Manage all the MI Health account files and generate monthly MI health account reporting
Liaise with the MiFID II Project Management Office

present

Chicago, IL

Senior Regulatory Analyst

Chicago, IL

Bins-Mayer

present

Chicago, IL

Senior Regulatory Analyst

present

Work closely with the Branch Quality and Analysis team supporting their analytics, and review all exceptions identified through the underlying control processes
Responsible for preparation of accurate and timely regulatory filings in each of the 29 states where Frontier has operations. These filings include annual reports to state public utility commissions, monthly filings for state universal service fund contributions and reimbursements, telecom relay service fund contributions, as well as various other telephone assistance plans and surcharges. Involves gathering, compiling and formatting supporting data from various sources to complete filing. Supporting data is both financial and statistical
Respond to regulatory inquiries. This involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response
Manage offshore team, and ensure complete review of work product
Assist financial advisors with regulatory exams, and provide regulators with requested information
Assume lead responsibility for presenting to and maintaining relationships with internal and external parties. Represent Xcel Energy and participate in regulatory agency functions such as open meetings, workshops, hearings, and private discussions on issues of interest to the company. Prepare summaries of regulatory activities and position papers; make oral briefings to executives, management, and employees
Develop and maintain demand side management tracking systems to ensure that historical and forecasted long-run impacts are maintained and updated as necessary for each jurisdiction. Advise on business-integrated resource planning efforts and analyze and report on changes in regulations and their expected impacts. Assess regulatory developments in other states relative to DSM and maintain a knowledgebase of alternative methodologies and regulatory structures

Education Education

Bachelor’s Degree in Finance

Drexel University

Bachelor’s Degree in Finance

Skills Skills

Able to demonstrate integrity, ability to learn, results orientation and a sense of how to balance urgency and quality
Able to demonstrate strong organizational skills and attention to detail
Able to demonstrate strong analytical and critical thinking skills
Able to demonstrate strong presentation skills
Good computer skills, quick adaption to new systems
Adaptability and flexibility, ability to perform under pressure or in changing environment
Able to make sound judgments based on available information and independent problem solving
Able to demonstrate knowledge of cost/benefit analysis
Able to demonstrate excellent verbal and written communication skills
Outstanding attention to detail and analytical ability

Create a Resume in Minutes

15 Regulatory Analyst resume templates

Read our complete resume writing guides

O&t Is Program Manager Cyber Security Regulatory Analyst Resume Examples & Samples

University Degree (Engineering or Computer Science Preferred)
Strong communication skills and inter personal skills
Dependable team player with ongoing commitment to excellence
Organized, self-motivated and able to work independently with minimal supervision in a fast-paced environment and with tight schedules
Experience in either audit/consulting/analysis/data mining/reporting
Project Management, Information Security or Control & Compliance, will be an added advantage
Information Security Certification such as CISA/CISM/CISSP will be an added advantage
Understaing of Regulatory Landscape in Information Security will be an advantage

Senior Regulatory Analyst Resume Examples & Samples

Responsible for the quarterly Accountability process, which includes the business view breakdown of the key regulatory reports, distribution of the corresponding flat files containing transactional level data, liaising with Product control to ensure timing review and sign-off from business, supply Regulatory Reporting Unit with exceptions identified for report update prior to filing, identify root cause and action plan for exceptions, calculation of corresponding metrics, and governance support
Develop and enhance existing processes that perform a comprehensive review of static data attributes, which support financial and regulatory reporting. Specifically, ensure accuracy and integrity at the transaction record level by cross checking against upstream risk management, and settlement systems, analyze customer and instrument static data to identify inconsistencies and ensure integrity, run review parameters on a daily basis and work with underlying reporting groups to address and correct identified exceptions, document data exceptions and ensure that they are communicated accordingly, including required action plans
Prepare report trend analysis and commentary that identifies business drivers for material period changes. Ensure trend/commentary is provided to regulators on report filing date
Reply to regulator questions regarding corresponding regulatory report filings
Manage offshore team, and ensure complete review of work product
Work closely with the Financial and regulatory reporting team to coordinate accurate reporting across both areas
10 - 15 years of experience in U.S. bank regulatory reporting
BA/BS Accounting
Derivative product knowledge
Proficient in MS Office applications (MS Excel, MS Word and MS Access)
Working knowledge of Axiom reporting software

Regulatory Analyst Resume Examples & Samples

Responsible for the preparation, review, and filing of the following reports
FFIEC 002/002S Call Report (FFIEC 002/02S) - "Report of Assets & Liabilities of U.S. Branches and Agencies of Foreign Banks"
FRY-7 Report - "Annual Report of Foreign Banking Organizations"
CIMA Reports (CIQPR, LBS & CPIS) - "Cayman Islands Quarterly Prudential Returns," "Location Banking Statistics Survey" & "Coordinated Portfolio Investment Survey"
FFIEC 019 Report - "Country Exposure Report for U.S. Branches and Agencies of Foreign Banks"
FR 2644 Report - "Weekly Report of Selected Assets and Liabilities of Domestically Chartered Commercial Banks and U.S. Branches and Agencies of Foreign Banks"
FR 2915 Report - "The Report of Foreign (Non-U.S.) Currency Deposits"
Abandoned Property Reports
FR 2930 Report - "Allocation of Low Reserve Tranche and Reservable Liabilities Exemption"
Department of Commerce Reports (i.e. TIC B's, TIC FC's, Form D, Form S, Form SLT, SHC, SHCA, SHL & SHLA)
FR Y-7 – "Annual Report of Foreign Banking Organizations"
FR Y-7Q – "Capital and Asset Report for Foreign Banking Organizations"
FR 2420 – "Report of Select Money Market Rates"
Any other required reports not listed above
Contributing to the effective development of key regulatory and business processes and systems to support regulatory reporting and controls across legal entities
Responsible for the daily monitoring and timely resolution of outstanding suspense accounts balances with significant large balances for final deposition in the regulatory reports contributing to the effective development of key regulatory and business processes and systems to support regulatory reporting and controls across legal entities
Responsible for accessing technological solutions as a preparer and lead tester for the complete submission of all ITG tickets to Finance IT, for inclusion in the monthly AXIOM release, and signoff for all the regulatory reporting monthly enhancements and General Ledger Release updates
5 – 10 years of experience in U.S. bank regulatory reporting

Regulatory Analyst Resume Examples & Samples

Conduct transactional review of all bank / subsidiary regulatory reports. Specifically, run the QCAP process for each of the underlying reports on a quarterly basis. Document exceptions, identify root cause, and notify regulatory reporting unit for report update prior to filing
Participate in new business initiative process, and prepare detailed impact analysis of transaction on underlying regulatory reporting
Document the functional control requirements and operating procedures
5 - 10 years of experience in U.S. bank regulatory reporting

Senior Regulatory Analyst Resume Examples & Samples

Responsible for supervising the preparation, and filing of the following reports
FFIEC 002/002S Call Report (FFIEC 002/02S) - "Report of Assets & Liabilities of U.S. Branches and Agencies of Foreign Banks" FRY-7 Report - "Annual Report of Foreign Banking Organizations"
FR 2900 Report - "Report of Transaction Accounts, Other Deposits and Vault Cash"
Department of Commerce Surveys (i.e. BE Reports)
Pledge Assets Report, Reserve requirement calculations,
FR 2028 Report - "Survey of Terms of Bank Lending/Prime Rate Supplement"
Ensure all reporting requirements are produced and filed in a timely and efficient manner
Work closely with the Branch Quality and Analysis team supporting their analytics, and review all exceptions identified through the underlying control processes
Assure manual adjustments are keep to acceptable levels, and continuously work with Group Finance IT to automate and eliminate where possible
Mange change control from both an internal system perspective, and external regulatory changes
Develop or update existing training materials, and ensure that training program is sustained in a manner required by the regulators
Ensuring policies and procedures are current related to all activities performed by the team
Ensure sustainability of underlying controls, especially those implemented to address prior audit points
Working closely with the front office on regulatory interpretation matters including new rule implementations
10 - 15+ years of experience in U.S. bank regulatory reporting

Junior Regulatory Analyst Resume Examples & Samples

Assisting in the preparation of the monthly capital calculations in accordance with SEC Rule 15c3-1
Assisting in the preparation of the weekly and monthly SEC 15c3-3 Customer Reserve Formula (SEC client money protection)
Assisting in the preparation of the monthly FOCUS report for submission to the SEC and CFTC
Assisting in the daily and month end CFTC client money protection computations (US regulated futures activity)
Act as a backup for the weekly FR2004 primary dealer reporting to the Federal Reserve Bank including monthly and quarterly TICS reports
Additional responsibilities and ad hoc work as the US Regulatory landscape continues to evolve
BA/BS Accounting or related finance field (1 years of broker/dealer experience a plus)
Extremely proficient in MS Office applications (MS Excel, MS Word and MS Access)
Ability to write and edit complex MS Excel macros and MS Access database queries
Strong Communication and Organizational skills

Senior Regulatory Analyst Resume Examples & Samples

Responsible for the preparation of the monthly fixed income haircuts which includes US Government Bonds, municipal securities, corporate bonds including investment grade, high yield and non-marketable bonds as required by SEC Rule 15c3-1
Preparation of the weekly and monthly SEC 15c3-3 Customer Reserve Formula (SEC client money protection)
Preparation of the Operational Page 2 for the monthly SEC FOCUS report to be filed with the US regulators. This involves working closely with the many different operational areas within SEC LLC to compile the required identifiable items and the corresponding capital charges associated with each
Preparation of monthly capital charges that support the monthly SEC FOCUS filing including securities borrow/loans, currency, aged broker and customer fails
Ensuring policies and procedures are current related to the SEC 15c3-1 Net Capital computations
Act as a backup for the weekly FR2004 primary dealer reporting to the Federal Reserve Bank
Responsible for supporting the annual FINRA FinOp exams and periodic SEC exams
Preparation and submission of the 17-H report to the SEC and CFTC. This entails compilation and organization of data related to risk assessment for SEC LLC and its affiliates
Assist in coordinating and managing the CFTC regulatory reporting obligations
R-1 reporting of customer margin debits/credits to FINRA on a monthly basis
Portfolio Margin reporting of the firms PM accounts to FINRA on a weekly basis
4 years of experience in broker/dealer or futures commission merchant regulatory reporting a plus
BA/BS Accounting or related finance field
US regulatory reporting experience (a plus)
Very proficient in MS Office applications (MS Excel, MS Word and MS Access)

Regulatory Analyst Resume Examples & Samples

Customer database management (i.e. creation of newly acquired customers in the core system of Morgan Stanley and maintenance of the records of existing clients)
Liaising with the Business Units and Stakeholders to obtain all necessary information
Collection and refresh of certain documents obtained per regulatory requirements
Providing status reports and escalating issues to management, as appropriate
Enhancing and maintaining written procedures
Updating proprietary systems with information / documentation obtained
High level of English knowledge
Ability to multi-task and work to tight deadlines
Outstanding attention to detail and analytical ability
Good computer skills, quick adaption to new systems
Adaptability and flexibility, ability to perform under pressure or in changing environment
Ability to interact effectively with others across departments, regions and time zones
Proven client relationship and organizational skills
Advanced skills in Microsoft Office applications
Other foreign languages advantageous
Project experience advantageous
Previous employment in a global organization is a plus
Experience in the financial industry or equivalent background is advantageous
Knowledge of Morgan Stanley clients and products and of the current regulatory environment
Awareness of capital markets products

Client Reference Data Regulatory Analyst Resume Examples & Samples

Bachelors Degree required. Graduate degree or Professional Certification (e.g. PMP) a plus
Experience with managing projects, particularly the review of FRDs & BRDs and UAT Testing
Previous experience with Client Reference Data a plus
Organizational, relationship, and interpersonal skills
Excellent attention to detail and the ability to problem solve with minimal supervision
Verbal/written communication skills

Regulatory Analyst Resume Examples & Samples

Responsible for performing a variety of duties related to regulatory reviews and audits, including presentations and discussions with external regulators and internal or external auditors
Serves as the point of contact for examinations to ensure understanding of review request
Assembles cross functional teams as needed, assigns responsibilities, develops schedules, determines and acquires resources
Facilitates communication to provide the necessary data and documentation to respond to a regulatory review
Creates and maintains databases, documentation and data in a meaningful format
Maintains a constant awareness of new and amended regulations and assesses their impact to the line of business
Bachelors degree in Accounting, Business, Finance or related field
Three (3) years of experience in finance or regulatory environment

Regulatory Analyst Resume Examples & Samples

Monitor for, identify, analyse, communicate and support the implementation of, relevant regulatory changes/developments impacting RBCUK businesses. Look to enhance processes on an ongoing basis
Produce detailed analysis, including gap analysis as necessary, of regulatory changes/developments, working as necessary with subject matter experts and other stakeholders to fully and accurately understand the impacts of such changes/developments on RBCUK businesses
Assist in the production of accurate, succinct and tailored presentations and briefing notes for senior management, ensuring that material aspects of regulatory changes/developments are highlighted and the likely impacts (actual or potential) on RBCUK businesses are explained
Produce accurate and succinct reporting for various committees and boards, ensuring that material aspects of regulatory changes/developments are highlighted and the likely impacts (actual or potential) on RBCUK businesses are explained
Knowledge and/or experience of UK & European regulatory regime
Legal background or experience in regulatory change management
Strong analytical ability and capable of distilling large flows of information
Willingness to acquire/develop competencies/knowledge base on other regualtory topics as directed
Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross unit co-operation, information sharing etc

Regulatory Analyst Resume Examples & Samples

Develops and prepares filings and petitions for regulatory bodies
Prepares filings including fuel, conservation, and surveillance reports
Prepares rate analysis, tariffs modifications and other filings
Provides audit and discovery assistance
Performs regulatory strategic planning and program development
Prepares regulatory analysis and other special projects

Regulatory Analyst Resume Examples & Samples

Monitor for, identify and analyse, communicate and support the implementation of, relevant regulatory changes and developments that might impact the business - looking to enhance processes on an ongoing basis
Produce detailed analysis, including gap analysis as necessary, of regulatory changes/developments, working as necessary with subject matter experts and other stakeholders to fully and accurately understand the impacts of such changes/developments on the business
Assist in the production of accurate, succinct and tailored presentations and briefing notes for senior management, ensuring that material aspects of regulatory changes/developments are highlighted and the likely impacts (actual or potential) on the business
Produce accurate and succinct reporting for various committees and boards, ensuring that material aspects of regulatory changes/developments are highlighted and the likely impacts (actual or potential) on the business are explained
Knowledge and/or experience of UK & European Regulatory Regime
Working knowledge of capital markets and wealth/asset management business and experience of working in a major investment bank or compliance department would be advantageous

Lead Regulatory Analyst Resume Examples & Samples

Gather, organize and prepare responses to BC/DR regulatory, Board and Committee requests
Ensuring operational compliance and policy alignment
Manage day-to-day work relating to third party assessments, audits and policy / regulatory / international standard gap analyses
Benchmarking and maturing our BCM/Operations functions
Relationship maintenance with Legal, Government Relations, Information Security, and compliance officers representing: CMECE, CME Europe and other subsidiaries
Represent CME Group on FSSCC, FS-ISAC, SIFMA, DHS policy and regulations committees and working groups

Compliance & Regulatory Analyst Resume Examples & Samples

Support compliance management in developing, implementing, and maintaining an enterprise-wide compliance program
Promote compliance awareness within the business and support a culture of compliance
Execute upon the monitoring and testing program to assess compliance with global, regional and country requirements
Create and maintain testing workpapers and supporting documentation
Assist in evaluating the adequacy of business policies, procedures, training and reference materials, system and manual processes with respect to regulatory requirements
Analyze testing results to identify trends/anomalies, provide feedback, and suggestions on potential process enhancements to improve business unit compliance
Monitor business action plans to remediate compliance deficiencies
Communicate and collaborate with business partners and the first line of defense
Maintain a high level of awareness and knowledge of regulatory compliance requirements and assist in identifying significant compliance risks
Bachelor's Degree required, JD a plus
Minimum of 5 years of compliance and or relevant law experience
Prior compliance experience with respect to FCPA, FACTA, OFAC, data privacy, and anti-competition
Fluency in Spanish and/or Portuguese is strongly desired
Possess a positive, self-motivated attitude and work well individually and as a team

Regulatory Analyst Resume Examples & Samples

Assist attorneys to proactively identify areas of regulatory concern, deficiency or exposure to the Firm, and conduct fact finding to assist counsel to understand the scope of issues and the operative facts
Support attorneys providing counsel to address customer-initiated and advisor-initiated matters that implicate internal LPL controls process and/or regulatory compliance issues to be addressed by the Firm
Provide assistance to the attorneys in the delivery of guidance and advice to business units regarding remediation of identified regulatory risk or exposure
Provide support to attorneys serving on Firm level policy groups and Firm committees
Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications
Keep abreast of, analyze, and understand regulatory requirements and compliance procedures
4+ years of regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
Thorough understanding of brokerage operations and compliance processes
Exceptional oral and written communication skills and the ability to independently draft reports, memoranda, letters and other documents
Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects

Senior Regulatory Analyst Resume Examples & Samples

Serve as liaison for branch exams
Assist financial advisors with regulatory exams, and provide regulators with requested information
Assist firm employees in preparing for the exam, and support them throughout the exam process
Collect, analyze, and provide documents requested by the regulators
Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions
6+ years of regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
Ability to properly interpret and analyze regulatory and compliance issues
Thorough understanding of brokerage and investment advisor operations and compliance processes

Regulatory Analyst Resume Examples & Samples

Respond to regulatory inquiries. This involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response
Serve as a liaison for FINRA and SEC exams
Series 7 and 24 licenses

Senior Regulatory Analyst Resume Examples & Samples

6+ years of relevant Accounting experience
Solid Regulatory Reporting knowledge, including experience with FR Y9C, Call Report, FFIEC 009, etc
Good understanding of US GAAP
Strong data aggregation skills – data base usage, Access, etc
Experience in databases and systems
Working knowledge of PeopleSoft / Hyperion

Regulatory Analyst Resume Examples & Samples

3-5 years of work experience, ideally within auditing or investment banking
Analytical mindset with a good approach to problem solving
Strong data analysis skills through the use of Excel
Basic knowledge of MS Access and SQL
Understanding and appreciation of core Global Markets Financial Products
Strong and reliable team player
CPA-qualified and / or Master's Degree
Knowledge of RWA calculation for credit products is useful
Strong working knowledge of the front to back system architecture
Ability to cope well with periodic pressure and adjust hours to occasional peak loads

Regulatory Analyst Resume Examples & Samples

Assist in the production of annual and quarterly Regulatory returns
Monitor Regulatory investment restrictions
Daily Mifid Transaction reporting to the FCA
Delivery of Solvency II data on a monthly basis
Investigate breaches of investment restrictions. Liaise with Front Office, management and clients to ensure that appropriate action is taken
Assist with the interpretation and application of existing Insurance Company Legislation and any amendments arising in the future
Continually monitor and improve, where necessary, the processes, controls and procedures associated with above
Assist with the implementation of appropriate systems, processes, controls and procedures as a result of changes to existing, or introduction of new, legislation
Provide ongoing support to other areas of Operations, Front Office and clients
A high level of literacy & numeracy and an extensive knowledge of MS Excel & Word & is required as well as some knowledge of MS Access
Thorough knowledge of financial markets from an operational perspective including experience of client reporting, preferably within a fund management business
Knowledge of financial accounting an advantage
Knowledge of Regulatory reporting and Insurance Company Legislation an advantage
Knowledge of Bonds and Derivatives an advantage
Desire to deliver a first rate service to all clients
Able to work effectively under pressure and to tight deadlines
Able to work within a small team and without close supervision
Good communication skills, both written and verbal, and able to liaise effectively with personnel at all levels
Logical and analytical approach
Ability to interpret legislation - an advantage. Also the ability to interpret other complex documents and to develop solutions as appropriate
Production of periodic Regulatory Returns
Regulatory Investment restrictions monitoring
Interpretation /application of Insurance Company Legislation
Client/Audit queries / relationship management
Mifid Transaction reporting
Delivery of Solvency II monthly submissions
Key requirement is broad experience rather than specific professional qualifications
Threshold competent (IMC, IAQ)

Regulatory Analyst Resume Examples & Samples

Performing 'horizon scanning' to identify regulatory developments which will, or may, impact RBC UK's businesses
Producing detailed analyses of identified regulatory developments, working as necessary with the Advisory teams and other subject matter experts to clarify the likely impact on RBC UK's businesses
Producing accurate, succinct and tailored presentations for a range of stakeholders highlighting material external developments and anticipated internal impact
Producing the relevant content in respect of UK / European regulatory developments for internal reporting
Contributing to preparation for, and presenting at, weekly regulatory updates for key Compliance stakeholders
Contributing to project delivery, providing advice to the implementation teams in respect of regulatory requirements as they evolve: attending working groups where the scope and scale of the change requires ongoing involvement on a regular basis
Working with the other members of the group to implement team strategy: contributing ideas for, and assisting in the operationalization of, changes to the operating model. This will require consideration of: involvement in all stages of the 'regulatory lifecycle'; identification of opportunities to leverage work undertaken by other teams within RBC in addressing regulatory change; streamlining the reporting process; identification of learning opportunities for the team to ensure that 'horizon scanning' focuses on those developments likely to be of greatest relevance given RBC's business model in the UK
Participating in / contributing to industry discussions on regulatory policy developments through attendance at meetings of / review of papers from, market associations (BBA, AFME, ICMA and FOA)
Knowledge of the European and UK regulatory regime
Experience of working with regulatory change: this may have been gained in an analyst, advisory or project management capacity
Demonstrable ability to distil key points from large volumes of information and to tailor presentation of summaries to a variety of audiences
Ability to build and maintain strong relationships across a broad network of stakeholders within an organisation
Experience of working in an investment bank or wealth/asset management firm

International Insurance Regulatory Analyst Resume Examples & Samples

2+ years of related Legal, Regulatory, and/or Law firm experience
Degree in a related field
Proficiency conducting Online Legal Research
Exceptional analytical and critical thinking skills
Strong Paralegal skills

Remuneration Regulatory Analyst Resume Examples & Samples

Assisting with the implementation of remuneration regulatory requirements and compliance with the UK /EMEA regulators as necessary whilst maintaining Citi’s Global approach to remuneration regulatory issues
Shaping and developing Citi’s reward structures to ensure compliance with regulatory requirements whilst maintaining Citi’s Global Compensation philosophy and remaining competitive
Working closely with the wider Reward team and other internal stakeholders i.e. Risk and Compliance, Reward and Mobility, Legal, and in particular the NY Corporate Compensation Team
Training HR colleagues and key stakeholders on practical implementation of remuneration regulatory requirements from a UK/EMEA/US perspective
Delivery on annual targets set by HR and Reward and Mobility Management
Assisting with audit responsibilities in connection with regulatory remuneration matters
Knowledge of UK and global regulatory issues
Excellent analytical and numerical skills with the ability to effectively review internal / external advice and to make appropriate recommendations to senior management
First class client handling and consultancy skills will be vital, given the interaction required with Country HR staff, senior management and multiple businesses across the EMEA region
Involvement in projects involving multiple stakeholders on a regional / global level
Bachelor degree essential
Legal/Tax background would be preferable but not essential for those with relevant experience

Regulatory Analyst Resume Examples & Samples

Complete Country Regulatory Assessments, as per prescribed list, for each of the target countries identified by SA M Commerce
Conduct Desktop research to identify the relevant regulations in each of target countries. Critical regulations include those that focus on
Final year Law Student, postgraduate Law student or international relations/business graduateLegal Background
Completed courses Business and Economics, in addition, would be preferred
Proven ability to conduct desk top research
Strong research experience, to ensure reliable deliverables. Good knowledge of referencing systems
Familiarity and experience working with legal text, legislation and policy documents
Ability to work with Microsoft software packages (Power-point, Word, Excel)
Interest in developing economies, complemented by practical experience
Proven ability to take in a large volume of information, such as polices, and determine their impact in a particular situation
Professional with a high level of integrity
Self-motivated and proactive
Ability to deliver high quality output, within short periods of time
Organized and systematic
Fluent in spoken and writtenEnglish
Please submit you application in English as soon as possible, the selection process is ongoing
Application end date is March 27th

Compliance Regulatory Analyst Resume Examples & Samples

Maintain a detailed rule traceability matrix (to sub paragraph of levels 1, 2 & 3 texts)
Assist in the production of Business Requirements Documents for all Investor Protection sub-work streams
Maintain project tracking documentation, produce breakdown schedule planning, providing appropriate reminders to deliverable owners and regular status reports to the work stream lead
Analyse and co-ordinate cross work stream requirements/initiatives (e.g. client documentation, policy and record keeping requirements) liaising with LCD coverage teams and other MiFID II work stream leads as required
Arrange regular and ad hoc work stream, sub work-stream and cross function workshop meetings including preparation of agenda, presentation materials and minutes
Maintain Investor Protection SharePoint site and all project document documentation, in particular maintaining version control
Liaise with the MiFID II Project Management Office
Assist work stream and sub- work stream leads with investigation, analysis and and resolution of implementation issues
Good understanding of MiFID II Investor Protection regulations and UK regulatory environment
Professional and articulate with good communication skills
Excellent presentation skills - ability to produce high quality written materials (e.g. presentations, briefing notes)
Good organisational and project management skills (e.g. prepare project management documentation, meeting materials, track deliverables, produce periodic Management Information)
Strong interpersonal skills - ability to work with staff and external stakeholders of all seniority
Ability to remain focused under pressure
Ability to perform multiple tasks simultaneously, manage own workload and prioritise

Assistant VP, ICG Regulatory Analyst Resume Examples & Samples

5+ years of experience in the financial services industry
Some product knowledge is needed including Derivatives and SFT
Strong analytical/investigative skills required
Financial or Regulatory experience preferred
MS Excel experience a must, MS Access a plus
PowerPoint experience is a must
Ability to multitask and work independently a must (Self Starter)
Strong verbal and written communication skills a must
Knowledge of the Basel III rules a plus
Knowledge of Volcker rules, not necessary but a plus
Knowledge of the Dodd Frank rules a plus
Bachelor’s degree required, accounting knowledge needed / CPA preferred but not required

RIA Surveillance Regulatory Analyst Resume Examples & Samples

Daily, Weekly, Monthly, Quarterly surveillance review of RIA accounts activity including- trades, journals, portfolio holdings, solicitation etc
SunGard Trading System ad hoc reporting and alert review in support of RIA surveillance
Broker and Advisor state licensing review
Email surveillance policy development and oversight
Prior experience working with an international clientele required
Well motivated and enthusiastic team player, able to work with others in a fast paced, dynamic financial environment
Financial/Reporting analytical skills
Microsoft Excel

Operations Regulatory Analyst Resume Examples & Samples

Oversight of Daily reporting requirement: Oversight of daily submission of reports to the Bank of England (BoE) ensuring accuracy, completeness and timeliness of reporting
Exception / Query Management: Act as point of contact for all exception handing and query management
The ideal candidate should have banking experience
Ability to build productive working relationships across Operations, Compliance and Audit (internal and external)
Ability to interpret issues raised by individual entities and summarise the key issues to senior management and other stakeholders
Understand impact of external factors (e.g. regulatory changes) on departmental strategy
Understand the front to back technology used within the section
Pro-active, likely to instigate change
Confident team player – good interpersonal skills
Able to build effective working relationships quickly and maintain them
Good attention to detail
Good working knowledge of Excel, Word and PowerPoint
Proven experience in Securities and Banking Operations, or in a Control or Regulatory/Compliance function
Previous Regulatory reporting experience preferable. Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience

Regulatory Analyst, Regulatory Affairs Resume Examples & Samples

Learn about Bell’s products and services as well as emerging technologies
Broaden your scope of Bell and our affiliate operations
Interface extensively with various groups and levels of management
Utilize your data analysis and economic/financial related skills and develop your knowledge of the regulations affecting our business operations
University degree in business or economics
Excellent working knowledge of EXCEL with the knowledge and experience to create well-organized, user-friendly and flexible files using best practices
Experience in the collection, management and synthesis of large volumes of data from multiple sources
Strong research, analytical and problem solving skills, with attention to detail and accuracy
Excellent communications and interpersonal skills with the ability to convey results and ideas effectively to non-financial/economic managers
Results oriented with an ability to work under stringent timeframes, under minimal supervision, and deliver accurate results
Related experience, preferably within the telecommunications industry
General understanding of the BCE’s operations and service offerings would be an asset
Proficiency with Microsoft Excel, Word, PowerPoint and Access
Ability to develop, deliver and facilitate presentations in a professional manner to all levels of management
Ability to work independently as well as on multi-disciplinary teams in conducting data analysis

Regulatory Analyst Resume Examples & Samples

Working alongside senior management and project teams across the business, s/he offers process, tool and life cycle guidance on regulatory changes and assessments, develops comprehensive action plans as appropriate, ensuring that regulatory change management is well planned
S/he will help the business management to track performance to plan and monitors key process/project deliverables, driving projects to successful conclusions on time
S/he takes the lead to identify risk and manage changes and issues that arise in the course of the project execution
S/he advocates, supports and has experience in the implementation and utilisation of project management tools
S/he will provide project metrics including RAG status, milestone tracking, dependencies, issue tracking
S/he uses experience to provide insight to planning processes and provide mentoring to project staff across the organisation
Detailed knowledge of the Markets Group organisation is not an absolute requirement, but would be an advantage
Industry knowledge of the business structure as a whole will be necessary to enable this person to understand delivery of functional specifications and design based on the business requirements and strategy
A good working knowledge of Collateral Management processes, Securities Lending, Liquidity, FX and Capital Markets businesses especially will be helpful
Experience of understanding and advising how a business line can fit its working practices to the functional requirements of any relevant regulations, as well as communicating this in a practical manner to senior management in order to meet project goals and aims
Proven ability and experience in thinking laterally in applying regulatory changes across business groups
Demonstrate understanding and confidence to actively work with diverse groups and their senior management to help them understand how regulatory change affects them, and what they must do in order to implement the regulation within their business
They must be highly persuasive and influential, with the ability to help the management team understand how these projects will affect their business, as well as help them to understand the practical application of change across their business groups
They will need strong negotiation and collaboration skills and be a clear and precise thinker who is comfortable working at and with all levels in a small team

Senior Regulatory Analyst Resume Examples & Samples

Serve as liaison for branch exams conducted by regulators
The ability to think holistically about processes that impact clients, and to continuously refine those processes, making it easier for clients to accomplish their daily business
A passion for improving processes so they can be followed easily and lead to excellent results

Regulatory Analyst Resume Examples & Samples

Prepare and file documents necessary to comply with state licensing and reporting requirements
Work with contacts across the NRG business organization to gather data, documents and information for regulatory filings and utility registrations
Communicate with state regulatory agency staff and utility company personnel on licensing, reporting and other regulatory matters; attend state regulatory commission meetings as needed
Stay current with relevant regulatory reporting requirements
Administer the regulatory compliance management system using Intelex software
Maintain and administer a master calendar of filings and report deadlines
Monitor state regulatory agency docket filings of interest to the business; alert responsible government-regulatory associates
Maintain an archive of regulatory filings and documents
Provide document research and retrieval support to the business
Prepare and update briefing files on state regulatory requirements and related information for the East retail markets
Minimum of 4 to 8 years of experience. Energy industry experience preferred, particularly in a compliance or regulatory role. Experience at a national or large regional law firm or as a paralegal a plus
Accounting or auditing experience a plus
Ability to take initiative, be a self-starter and work independently
Ability to manage multiple tasks and demanding work load while performing in a fast-paced, deadline-oriented environment. Some travel required
High-energy team player with an aptitude for building successful relationships with employees of all levels, as well as external stakeholders
Proficient in Microsoft Office suite, including Word, Excel, Outlook, and PowerPoint; SharePoint; and knowledge of regulatory compliance software such as Intelex

Ferc Regulatory Analyst, Principal Resume Examples & Samples

FERC Rate Case Management (50%): Leads team that prepares FERC-jurisdictional cost of service rate case and other filings of moderate to high complexityincluding preparation of a company-wide cost of service with segregation of costs to functional area subject to the rate case. Additional responsibilities include: drafting transmittal letters; coordinating with other subject matter experts and witnesses, reviewingtestimony, workpapers and discovery responses for submittal in regulatory proceedings. Reviews and analyzes intervenor and FERC Trial Staff positions to inform decisions on litigation and/or settlement strategies. Manage filing process including completion of allpre- and post-filing compliance and implementation tasks
Data Analysis (25%): Obtain and analyze data for inclusion in exhibits and reports for internal management and/or for support of regulatory proceedings. With guidance, develop, revise, and/or maintainmodels needed to support these analyses. Analyze and summarize testimony, reports, pleadings and discovery responses prepared by PG&E, other utilities, FERC Trial Staff or intervenors. Analyze and interpret regulatory proposals, legislation, and other relevantmaterials
FERC Compliance (10%): Implement regulatory decisions, including creating and/or revising moderately complex tariffs, billing, and regulatory accounting rules. Support department's FERC compliance efforts, including working on process maps,documentation of procedures, and implementation of controls
Regulatory and Ratemaking Support (15%): Support internal business partners by providing expertise as a subject matter expert on FERC procedural matters, cost recovery, and rate development

Regulatory Analyst Resume Examples & Samples

Conduct material formulation reviews according to 21 CFR guidelines
Train personnel on material compliance regulatory practices
Work efficiently with all offices and outside experts to aide in the development of proper procedures
Mentor less senior technical personnel
Provide technical support to sales and clients
Facilitate communication with material manufacturers/formulators in order to obtain necessary information to determine regulatory compliance
Develop and maintain a highly organized database to track evaluated materials
Assist in continual development and process improvement of material compliance procedures
Communicate project status and test results to client, sales personnel, and management throughout testing
Within policy guidelines, identify, properly document, and recommend engineering judgments
Perform other work within the same facets as required
Bachelor degree in chemistry
Food contact material regulatory experience required
Toxicological experience is preferred
Ability to identify problems, collect data, establish facts and draw valid conclusions
Ability to make technical decisions and engineering judgments independently within established parameters
Excellent communication skills, in both verbal and written formats
Excellent organization and time management skills Excellent interpersonal skills
Must be self-motivated and able to work independently in a fast-paced, multi-tasking environment

Regulatory Analyst Resume Examples & Samples

Bachelor or Master degree in any discipline
Preferably those with at least 6 years of relevant working experience with strong regulatory background
Good attitude such as self-disciplined, self-motivated, active to take action and able to work under pressure

Regulatory Analyst, Life Sciences, Moscow Resume Examples & Samples

Compile and review regulatory submissions, Technical Files, and labeling for completeness and quality
Maintain and update registration dossiers medical devices and reagents in accordance with applicable regulations
Identifies regulatory requirements for new product and changes to existing products
Determines the scope of information/documentation necessary to file new registration applications and post-approval changes to regulatory agencies
Ensures regulatory project deadlines and performance standards are established and met
Review new and existing local regulatory guidance documents, and prepare comments on new documents as needed
Should be at ease with direct communication with internal teams and external regulatory agencies, distributors and customers
Should be organized, able to work to on multiple projects, with tight deadlines
Scheduling and budgeting of regulatory submissions
Develop relationships with authorities
Participate in conferences, seminars organized by Ministry of health as required by the company
Requires a minimum of 3-5 years of professional regulatory affairs experience in positions related to registration of medicines and medical devices in Russia & CIS Countries
Knowledge of applicable Russian Laws and regulations for medical markets
Understanding of the European In-Vitro Diagnostic/Medical Device regulatory affairs environment
Computer literacy, including spreadsheet, database and word processing applications as well as the Internet required
Must interface with many levels of management in a widely varied cultural mix worldwide. Has contact with all levels of company employees. Must have positive attitude and great role model, with high energy, integrity and trust
Very good planning skills, ability to learn

Regulatory Analyst Resume Examples & Samples

Routinely analyzes trading activity for indications of potential insider trading
Conducts routine reviews and investigations into possible violations of federal securities laws and FINRA rules. Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity
Through the review / investigative process, the Analyst resolves situations that may impact the integrity of U.S. markets
Develops a thorough understanding of the investigative techniques utilized in the area of insider trading as well as the relevant FINRA rules and federal securities laws
Presents investigative findings (orally and in writing) to management, and to other constituents in an organized, concise and timely fashion
Interfaces with FINRA members, peers, management and outside parties

Regulatory Analyst, Market Regulation Resume Examples & Samples

Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA
Through the review / investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets
Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA; performs preventive compliance functions
Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility
44 - A minimum of one year of directly related experience. Knowledge of relevant rules and regulations enforced by FINRA. Knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications
45 - A minimum of three years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications

Regulatory Analyst, Options Regulation Resume Examples & Samples

Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity
Through the review/investigative process the Analyst resolves situations that may impact the integrity of all markets
44 - A minimum of one year of directly related experience. Knowledge of relevant securities laws, rules and regulations enforced by FINRA. Knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications
45 - A minimum of three years of directly related experience. Substantial knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications

Regulatory Analyst Resume Examples & Samples

Conducts routine reviews and investigations into possible violations of the relevant rules and regulations enforced by FINRA relating to fixed income markets and/or federal securities laws
Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity
Through the review / investigative process the Analyst resolves situations that may impact the integrity of the Fixed Income markets

Regulatory Analyst, Regulatory Programs Resume Examples & Samples

Demonstrates advanced competency in performing highly complex regulatory work and demonstrates advanced knowledge of relevant rules, regulations, guidelines and industry practices
Serves as a team lead, assisting in the prioritization of work and preliminary review of work completed by other analysts
Regularly monitors and reports on the status of the national cycle and branch examination program
Identifies and leads efforts to prioritize enhancement opportunities for national examination program and NEP technology
Analyzes rule proposals, amendments, and effectiveness of FINRA rules, MSRB rules, and federal securities rules and regulations to determine impact to FINRA examination responsibilities and resources
Writes examination policies and procedures fully addressing applicable rules and regulations, and makes initial determinations as to changes to FINRA examination policies and procedures that may require training for FINRA staff
Serves as the lead analyst in researching, proposing, recommending, developing and conducting of special initiatives and sweeps of novel or emerging regulatory issues. This includes independently researching the applicable topic, determining and clearly articulating in writing, the appropriate scope of the special initiative or sweep; leading the execution of the special initiative or sweep and preparing the final written report
Assists in training and developing examiners and less experienced analysts. Serves as a Mentor for less experienced analysts. Provides feedback on performance of less experienced analysts to assigned Mentor and/or supervisor
Participates in acceptance testing and/or task forces providing feedback and guidance to ensure examination and related programs are efficient and effective
Serves as a presenter or panelist for member conferences and training. Keeps management updated on notable trends in industry practices, products and procedures
Coordinates and communicates effectively with other FINRA personnel, self-regulatory organizations and agencies
Provides member firms, public investors and others with timely, accurate responses to inquiries
Provides interpretive guidance to examiners about applicable rules and regulations in the context of FINRA's examinations and other regulatory programs
Leads multiple and complex projects concurrently
GRADE 45: Bachelor's degree and minimum of three (3) years of Regulatory/Compliance or related experience. Strong organizational skills, communication skills, and excellent detail orientation are essential
GRADE 46: Bachelor's degree and minimum of five (5) years of Regulatory/Compliance or related experience. Strong organizational skills, communication skills, and excellent detail orientation are essential

Regulatory Analyst Resume Examples & Samples

Bachelor’s degree, or in lieu of a degree a minimum of four (4) years work experience
A minimum of 3 years’ of related experience
Ability to interact with all levels of personnel in a professional manner
Bachelor’s degree in Accounting or Finance preferred
Knowledge of lending applications utilized by department

Regulatory Analyst, Lead Resume Examples & Samples

5+ years of experience with regulatory research support involving human subject research and IRB submissions
Experience with military research preferred
Certified IRB Professional (CIP) certification

Regulatory Analyst, Senior Resume Examples & Samples

Experience with regulatory research support involving human subject research and IRB submissions
Experience with supporting clients
Experience with military research
Certified IRB Professional (CIP) Certification preferred

Regulatory Analyst Resume Examples & Samples

Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA
Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA; performs preventive compliance functions. Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion
Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures. Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility
Grade 43 - Working knowledge of relevant rules and regulations enforced by FINRA and ability to conduct telephone interviews. Working knowledge of securities markets, member firm operations, books and records. Familiarity with the use of a desktop computer
Grade 44 - A minimum of one year of directly related experience. Knowledge of relevant rules and regulations enforced by FINRA. Knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications

Regulatory Analyst Resume Examples & Samples

Project management training or experience, including project initiation, execution, planning and scheduling, meeting project deadlines, and project related communications
Project facilitation skills, meeting planning, and meeting facilitation
Experience working with complex regulatory issues
Ability to create visuals and info graphics to display data
Experience and creativity in working with complex data sets from multiple sources
A cover letter describing how your experience, skills and abilities meet the required/desired qualifications of this position

Regulatory Analyst, Expert Resume Examples & Samples

BA/BS in, economics, finance/accounting, or related field
Minimum of 7 years’ experience with Regulatory Relations, Finance, or other work-related department
Experience with regulatory finance and expense accounting and forecasting, financial data analysis and reporting, compliance, testimony
In-depth knowledge and understanding of case management procedures and processes
Advanced knowledge of revenue requirement, cost recovery, policy development and various PG&E programs
Expertise in regulatory accounting principles, capital accounting, as well as balancing account theory, concepts and practice
In depth knowledge of the functional lines of PG&E’s electric and gas business
Highly skilled in MS Office tools such as Excel, Word, PowerPoint
45% of time: Prepare monthly, long-term and ad-hoc revenue and rate forecasts. Must develop expertise in forecasting, revenue requirements, and rate structures. Identify potential problems and propose optimal solutions based on requirements. Document assumptions, results of analysis, and recommendations. Ability to handle analytical tasks in an accurate and timely manner is essential
25% of time: Analytical work of high complexity and scope in support of regulatory proceedings and internal management requests. Analytical work may include forecasting of revenues, costs and rates; supporting development of policies and programs; conducting research; supporting witnesses and the case management process; filing advice letters to revise preliminary statements, base revenue requirements and rates; preparing base revenue and cost driver analyses for budgeting and business planning; analyzing regulatory balancing accounts and recorded and forecasted activity; developing cost recovery mechanisms and informing management of recovery risks; implement regulatory decisions which require reporting and accounting changes through cross-departmental teams; and, benchmarking. Requires developing expertise in the current regulatory landscape
20% of time: Participate in and prepare communications, including power point presentations, related to rate forecasts and regulatory filings. Materials must communicate clearly, effectively, and persuasively. Ideas should be well thought out, precise, and appropriately presented for the intended audience. Responsible for keeping coworkers informed on work status and other related information on projects as they develop. Work with manager and team leaders to communicate the status of current work and plan for upcoming projects. Must willingly share technical knowledge with others, and assist others as the need arises
10% of time: Plan, monitor, and control various work products. Ensures that due dates are realistically set, milestones are met, and progress is effectively monitored. Follows up on details to ensure projects are completed accurately and effectively delegated where appropriate and high priority items are handled with appropriate speed and accuracy

Regulatory Analyst Resume Examples & Samples

Through the review / investigative process the Analyst resolves situations that may impact the integrity of NASDAQ or other markets
Ability to conduct telephone interviews
Familiarity with the use of a desktop computer with the full suite of office software applications
Working knowledge of securities markets, member firm operations, books and records

Regulatory Analyst Resume Examples & Samples

Work with Global Head’s direct reports on the development of reporting materials that communicate key regulatory issues, and provide project updates for use both internal and external to Citi
Ensure that deliveries from project related tasks are of appropriate quality, on time and executed in accordance with objectives
Participate in and provide support for significant Operations ad-hoc projects and control initiatives
Delivers and maintains a strong communication plan and artifacts among varied stakeholders (e.g. operations, technology, front office, compliance, legal, etc…)
Facilitates the management and governance of projects meetings and working groups
2-5 years in financial services experience. Citi experience a plus
Demonstrated experience in the successful implementation of projects, operational process change and improvement, preferably within capital markets operations
Capital markets operations experience having knowledge of trade life cycle and bank interactions with financial management utilities (DTCC, CME, etc…)
Experience with the implementation of regulatory initiatives including the interpretation and communication of related impacts to businesses
Knowledge and a technical understanding of securities processing including product, process and system knowledge

Regulatory Analyst Resume Examples & Samples

Monitor outbound/inbound calls from relevant Business Units and Departments
Perform ongoing, structured, and rigorous testing of key procedures and controls within all business units
Working with the QA Manager, develop, draft and implement new testing scripts
Perform ongoing monitoring of key indicators to detect and research unexplained variances which may be indicative of quality control issues
Remain cognizant of relevant QA policies and procedures
Performs processes used for sample selection
Contributes to reporting to first-line-management and other interested parties (e.g. Business Unit Risk Managers, QC, and Internal Audit)
Performs effective root cause analysis and follow-up on corrective actions
Interpret regulatory requirements and investor guidelines and manage a tracking/reporting mechanism to periodically communicate results and opportunities identified
Follow Standard Operating Procedures on all Federal and state laws, investor/guarantor requirements and business policies and procedures
Support the QA Manager in maintaining a repository of business/process guidelines and fraud trends to be used as a reference tool for others within organization
Review processes in various servicing departments for quality and compliance
Provide quality monitoring reports
Develop best practices to resolve delinquencies and deficiencies and meet regulatory compliance
Stay abreast of policy and regulatory changes to maintain subject matter expertise
Support the QA Manager in developing, maintaining, and ensuring accuracy of policies and procedures.Work with department managers to ensure current policies are in place and accurate.Maintain procedure manual
2-3 years of relevant experience (Quality Assurance, Quality Control, auditing, credit or data analysis, loan processing, mortgage banking, or financial institution) and knowledge of sound risk management practices for mortgage servicing functions
Demonstrated understanding of risk management and internal control principles
Experience reviewing processes, data, phone calls or documents with a strong attention to detail
Experience interpreting rules/guidelines and applying them appropriately to make decision
Excellent problem resolution and organizational skills
Production and accuracy-oriented and be flexible to business needs

Global Regulatory Analyst Resume Examples & Samples

Develop insights into the impact of banking regulation, and be able to contrast different regulatory environments
Develop network of relationships with Subject Matter Advisors for risk and regulatory issues
Superior ability to analyze information coherently and succinctly. Able to bring together a variety of perspectives and sources and develop a compelling point of view that drives results
Good knowledge of the global banking industry, with an interest in regulation
Comfortable with big picture thinking, able to think and articulate a point-of-view
Excellent verbal and written communication skills, with proven ability to explain complex concepts in a crisp, clear, concise and graphic rich style
Advanced skills in Word, Excel, PowerPoint and Lotus Notes
Excellent teamwork, relationship-building and leadership skills
Must work with, motivate, and cultivate a high-performance teaming environment with a small team of analysts in a global, multi-cultural and virtual environment
May be asked to serve as counselor or mentor to less experienced or lower ranking analysts and specialists
Relevant experience in financial services, strategy, law, public policy, or management consulting environment or with a financial services regulator
Knowledge and experience within a professional services environment an advantage

Regulatory Analyst, Insider Trading Resume Examples & Samples

Assists with analyzing trading activity in area of primary responsibility for indications of potential violative activity
Assists with routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws
Confers with senior staff and subject matter experts for guidance on complex issues
Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity
Through the review/investigative process the Analyst resolves situations that may impact the integrity of FINRA or other markets
Develops a basic understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions
Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion
Utilizes computer resources and software applications for data analysis pursuant to investigation/review procedures
Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility

Global Regulatory Analyst Banking & Capital Markets Resume Examples & Samples

Support the activities of EY's Global Regulatory Network, including the preparation of briefing materials and analysis to facilitate client discussions
Leverage a deep knowledge and understanding of the banking industry and work in conjunction with the BCM leadership to prepare insightful analysis on regulatory changes and trends, as well as the implications of those changes for EY or for the firm’s clients
Participate in client meetings and key strategic planning activities and major initiatives (including pursuits). Help map issues to existing EY services and identify new opportunities
Proactively alert BCM Regulatory leadership regarding tactical and strategic changes, and assess the impact of those changes on internal strategies and plans
Superior ability to analyze information coherently and succinctly. Able to bring together a variety of perspectives and sources and develop a compelling point of view that drives results. Talented at understanding multiple business drivers
Confidence in developing a point of view, recommendations and insights regarding the future outlook of the industry. Skilled in identifying trends that will translate into key market-facing initiatives for the firm
Demonstrate an ability to use quantitative methodologies to review data inputs to produce analytic insights

Regulatory Analyst Resume Examples & Samples

Review, negotiate, and prepare agreements with or on behalf of clients, including investment management agreements
Develop expertise in assigned subject matter and serve as the primary point of contact for internal business teams seeking legal and regulatory support
Assist with responses to client inquiries on legal and regulatory topics
Review and analyze security and issuer offering documentation
Research and report on changes in the global regulatory landscape and advise on requirements of new and amendment laws and their potential impact on Wellington Management’s business
Synthesize and organize information and create reference tools for ongoing use by the team
Complete various tasks that are sometimes administrative in nature to support day-to-day responsibilities of the Legal and Compliance Group; and
Collaborate with other Regulatory Analysts located in Boston, London and Hong Kong on various projects and assignments
A positive, collegial attitude and a high level of professionalism
Excellent interpersonal skills and an ability to work well with and instill confidence in colleagues, clients, and service providers at various levels of seniority
A strategic thinker comfortable taking ownership and applying judgment and capable of recognizing issues that require escalation
Solution oriented with strong analytical skills and the appropriate level of skepticism and curiosity
Highly-organized and detail-oriented with the ability to manage multiple initiatives with competing priorities in a sometimes high pressure environment
A team-oriented approach to completing assignments and a willingness to provide support to other teams during peak periods
Flexibility to adapt to the evolving needs of the team and a desire to develop new skills, assume additional responsibilities, and step out of your comfort zone
Proficient in use of MS Word and Excel with the ability to learn various internal and external systems and databases that support the Legal and Compliance Group
Prior experience working in a compliance, legal and/or regulatory role at an asset manager; and
Familiarity with the rules and regulations governing the asset management business, global capital markets, and fund sponsors, as well as an understanding of fiduciary principles preferred

Senior Regulatory Analyst Resume Examples & Samples

As the site regulatory expert, the incumbent is required to provide leadership and training to assure that all regulatory submissions and compliance matters are planned, communicated and executed per regulatory and business requirements
Subject matter expert on various regulations as well as coordinate issue resolution through the use of outside consultants, regulatory agencies, and / or internal resources
Prepare USDA product regulatory submissions and assist in activities to support the approved products during their lifecycle (i.e. updates to labeling, reporting issues to the USDA, as well as support annual compliance audits)
Prepare regulatory submissions for health authorities in other countries as required
Prepare and maintain state and federal licensing, establishment registration and listings as needed
Obtain regulatory permits, including import / export clearance requirements and regulations, in support of animal products including compliance with the European regulation EC 1069
Support for this regulation includes facilitating USDA annual inspections for the Austin site as well as supporting Thermo Fisher’s other manufacturing sites that require USDA inspection in order to export products that contain animal components to the EU
Complete product regulatory assessments of new and changed products. Labeling / marketing material review
Participate in Project Teams and New Product Introduction Teams
Keep abreast of new or revised regulations, guidelines, points to consider, compliance guides, inspection reports, journals, meetings, etc
Conduct training and/or communicate appropriate material to internal staff to aid in compliance
Develops regulatory affairs internal policies and procedures, and provide compliance training
May perform audits, both physical and paper, to ensure compliance with various regulations
May coordinate audit through outside vendor

Regulatory Analyst Resume Examples & Samples

Conducts comprehensive reviews and investigations into possible violations of FINRA rules and/or federal securities laws
Demonstrates knowledge of the rules and regulations relevant to assigned matters
Effectively utilizes internal FINRA systems and external resources (such as the Internet) to develop information relevant to matters under investigation pursuant to established OWB procedures
Compiles and organizes information from a variety of sources to be used in the development of investigations of potentially violative activity
Drafts high quality requests for documents and information pursuant to FINRA Rule 8210 that require minimal revision
Utilizes effective oral interviewing skills to develop pertinent information from relevant parties
Presents investigative findings (orally and in writing) to management in an organized, accurate, concise and timely fashion
Interfaces with peers, management and others and provides excellent internal/external customer service in area of regulatory responsibility
Maintains case files according to established procedures

Regulatory Analyst Resume Examples & Samples

Conveys clear, timely, persuasive messages
Clearly and effectively communicates with individuals and groups within and outside of the organization, both orally and in writing
Presents ideas effectively in formal and informal situations. Effectively translates complex or technical concepts into messages others can readily understand and grasp
Keeps supervisor and co-workers informed of need-to-know items; shares complete and accurate information with others
Uses data and information in a clear and rational thought process to assess and understand issues, evaluate options, form accurate conclusions and make sound decisions and policy recommendations
Ability to thoroughly investigate and accurately analyze complex financial concepts, consumer issues, and accounting data prescribed by Generally Accepted Accounting Principles or accounting standards prescribed by federal agencies
Identifies and investigates key facts in an array of complex consumer issues, and financial, accounting, technical, and operational data. Recognizes when pertinent facts are incorrect, missing, or require supplementation or verification. Distinguishes information that is not pertinent to a decision or solution and determines whether additional information would be useful or necessary
Forms accurate conclusions and makes appropriate recommendations regarding actions to be taken
Knowledge of legal, economic and regulatory framework in which regulated companies operate
Knowledge of state and federal laws, commission rules and regulations, and regulatory theory and principles pertaining to regulation of companies in assigned area
Knowledge of financial and GAAP or accounting methods prescribed for industries regulated by other governmental agencies
Knowledge of regulated industry business activities, legal constraints and trends
A letter of interestexplaining how you meet the qualifications of this position
A current resume detailing experience and education
Copy of your college transcript(s) (unofficial copy will suffice)
A list of three professional references with current telephone numbers, including your current or most recent supervisor (or you may include this information in the Reference section of your application. A professional reference is defined as an individual who has been paid to supervise your work and can attest to your work performance, technical skills, and job competencies. If you do not have any or sufficient professional references, please include non-related professionals, such as educators or other professional associates

Regulatory Analyst Resume Examples & Samples

Regulatory Compliance: Overall responsibility to develop data reports to support the quality and clinical departments in meeting regulations, accreditation standards and contractual requirements
Identify appropriate data sources, reporting metrics and tools; test and verify accuracy of the information
Manage reporting data sets, sometimes combining data from various sources
Analyze the data, and develop reports summarizing key findings
Present, explain, and/or interpret reports and data to internal customers (e.g., written reports; PowerPoint)
Identify process improvement opportunities based on analysis insights
Act as a reporting / data subject matter expert for the quality management team
Health care performance improvement experience, behavioral health
Proficiency in Excel; V-look up, advanced formulas, QI Macros
Familiarity in use of SPSS
Ability to program in Microsoft Access
Training or experience in performance improvement models; FOCUS PDCA, LEAN or 6-Sigma
Experience in managed care, healthcare quality management and/or behavioral health

Senior Regulatory Analyst Resume Examples & Samples

8+ years of experience working with federal regulatory agencies (preferably with BOEM and BSEE)
Prior Gulf of Mexico regulatory experience preferred
A high level of initiative, creativity, interpersonal skills, and an ability to work well within a multi-discipline team
Competent software skills with knowledge of Word, Excel, and PowerPoint
Prepare and file required permits for various operations including but not limited to Exploration Plans (EPs), Development Operations Coordination Documents (DOCDs), Permits to Drill, Down-hole and Surface Commingling, Suspensions of Production (SOPs), Conservation Information Documents (CIDs), Deepwater Operations Plans (DWOPs), Pipelines and Structures
Obtain departures/exceptions to regulations, when needed
Compile and file various reports required by regulations, including but not limited to Weekly Activity Reports (WARs), Annual Cathodic Protection Reports, Semi-Annual Well Tests, and Sensitive Reservoir Information
File Sustained Casing Pressure Reports and maintain database on same
Assist in preparation of training documents/presentations for asset teams and conduct training, if needed

Regulatory Analyst Resume Examples & Samples

Bachelor's degree in a Science and/or Engineering discipline from an accredited institution
Minimum of two (2) years of post-secondary chemistry coursework that includes two semesters of both General and Organic Chemistry
Master’s degree in a discipline related to product EHS (toxicology, industrial hygiene, safety, environmental health, etc.)
Experience working with the (GHS)
Minimum of one (1) year experience authoring safety data sheets and/or product labels
Experience using the ProSteward software (CDMS applies to internal applicants)
Highly productive, self-motivated and results-oriented

Regulatory Analyst, Office of Ombudsman Resume Examples & Samples

Resolve escalations received by phone, email, and in writing
Direct ownership of customer issues and concerns
Build and restore customer relationships
Provide written responses to applicable escalations within compliance standards
Thorough record keeping of all assigned cases
Coordinate with other business units to achieve customer satisfaction and resolve issues
Knowledge of Mortgage Banking practices
Ability to effectively communicate complex ideas and concepts in written form
Exceptional problem solving and decision making abilities
System tools (i.e. Email, Word, Excel, Speedpay, WEB, EBPP, CTI, P & P Manual, ImageWeb, LoanServ, REAL Servicing, CIS, DTRS, Agent Webstation etc.)
2+ years mortgage servicing experience preferred
Working knowledge of Microsoft Office preferred

Regulatory Analyst Resume Examples & Samples

Responsible for all regulatory functions in assigned area(s)
3+ years of active regulatory experience in Texas, Oklahoma, Louisiana, New Mexico, Utah and federal area of responsibility
Experience in regulatory document preparation and submittal for state and federal oil and gas operations
Proficient knowledge of Excel
Able to read interpret and apply city, county, state and federal regulations for permitting, completion, plugging and the operating of oil and gas wells
Able to work with operations teams, field staff, peers and various regulatory agencies to ensure compliance with applicable rules and regulations
Able to work with minimal supervision and capable of researching documents to obtain necessary data
Able to communicate (written and verbal) effectively and capable of identifying potential regulatory problems
Able to track individual work flow and time sensitive requirements

Regulatory Analyst Resume Examples & Samples

Manage Supplier Information Forms (SIF) updates in RD. Includes
Working knowledge of the SAP PLM/Recipe Development system
Effective time management/prioritization skills
Strong initiative to work on projects with minimal supervision
Proficiency in computer software such as SAP PLM/Recipe Development, Microsoft Word, Excel, PowerPoint, Outlook and SharePoint
Consideration will be given to candidates with regulatory, food science, nutrition or general science degrees
HS Diploma required/Bachelor's degree preferred
Education in/Knowledge of global food laws and regulations is preferred

Senior Regulatory Analyst Resume Examples & Samples

Translating regulatory requirements pertaining to Optus into tangible business deliverables
Researching and coordinating internal compliance reporting on Optus' CFUs/BUs/Networks/IT compliance status
Formulating initiatives and providing sound advice to CFUs/BUs to implement and maintain compliance with relevant requirements
Raising internal awareness of Optus' regulatory obligations and encouraging a culture of compliance
Contributing to the preparation of submissions to regulatory authorities in relation to Code and ACMA compliance requirements
Preparation of internal briefing documents and regular reports to meet regulatory reporting obligations

Senior Regulatory Analyst Resume Examples & Samples

Responsible for preparation of accurate and timely regulatory filings in each of the 29 states where Frontier has operations. These filings include annual reports to state public utility commissions, monthly filings for state universal service fund contributions and reimbursements, telecom relay service fund contributions, as well as various other telephone assistance plans and surcharges. Involves gathering, compiling and formatting supporting data from various sources to complete filing. Supporting data is both financial and statistical
Assists in the maintenance of the departmental filing calendar. Coordinates various external audits and assists in the budgeting process. Reconciles related general ledger accounts. Complies with Sarbanes-Oxley documented procedures and controls
Assists with the implementation and review of regulatory surcharges in Vertex
Synthesizes complex and diverse information; collects and researches data; uses intuition and experience to complement data; designs work flows and procedures
Identifies and resolves problems in a timely manner; gathers and analyzes information skillfully; develops alternative solutions; works well in group problem solving situations; uses reasons even when dealing with emotional topics
Displays willingness to make decisions; exhibits sound and accurate judgment; supports and explains reasoning for decision; includes appropriate people in decision-making process; makes timely decisions
Demonstrates accuracy and thoroughness; looks for ways to improve and promote quality; applies feedback to improve performance; monitors own work to ensure quality
Volunteers readily; undertakes self-development activities; seeks increased responsibilities; takes independent actions and calculated risks; looks for and takes advantage of opportunities; asks for and offers help when needed

Regulatory Analyst Resume Examples & Samples

Support regulatory filings (cost of service, testimony, rate design, data requests) and ensure accurate and timely completion
Obtain, analyze and interpret Company financial and statistical data to be used in Company filings and studies
Monitor revenue requirement mechanisms / contracts and prepare updates in support of timely filings
Assist in the development of regulatory policies and initiatives that support business strategies
Assist with the preparation and development of new initiatives that increase revenue opportunity or decrease expenses associated with the regulatory process
Research and communicate the proper interpretation of rates, rules, and terms and conditions of service to Company personnel through written and verbal communications
Prepare annual performance plan consistent with job expectations
Support customer service with the implementation of tariff changes and/or new tariffs. Establish and maintain a test protocol to verify rate changes
Monitor, review and analyze federal and state regulatory requirements and industry issues for electric and gas operations and keep department leadership apprised of findings
Maintain department filing system in conjunction with corporate retention policies
Keep supervisor informed of project work status
Assist various internal task force groups in order to develop and implement the Company's strategic action plans
Assist in the development of rate strategies and rate design that will optimize company profitability
One to three years of utility rate application experience and regulatory process related background preferred
One to three years of accounting or finance related experience preferred
Understanding of the utility regulatory process and rate analysis for both gas and electric utility service
Knowledge of accounting and financial concepts
Strong quantitative and analytical skills, and the ability to perform complex analysis
Demonstrated ability in developing and maintaining project schedules
Ability to manage multiple tasks/projects in a fluid work environment
Strong computer skills. Proficiency in Microsoft Excel, Word, Access, and financial software
Ability to accurately perform required tasks and meet deadlines while paying close attention to detail
Ability to demonstrate initiative and to work independently as well as with a team
Ability to interpret, analyze and enhance rate tariffs and schedules

Senior Regulatory Analyst Resume Examples & Samples

Perform complex data analysis to inform decision making, design and file financial models for concurrent cost recovery riders and adjustments clauses
Research and communicate the proper interpretation of rates, rules, and the terms and conditions of service to personnel through written and verbal communications
Develop and maintain documentation program that accurately documents department procedures and the regulatory process
Testify before regulatory commissions as an expert in support of filings
Analyze and interpret company financial and statistical data used in all studies
Support customer service with the implementation of tariff changes and/or new tariffs
Assist financial managers with forecasting rider investment, cost and corresponding revenues
Support various internal task force groups in order to develop and implement the Company’s strategic action plans
Support utility efforts to respond to customer complaints to the commissions
Assist in the development of communication plans to inform customers of changes in services and rates
5-7 years of related experience in utility operations, finance and accountant, economics or regulatory commission support
Utility compliance filings design experience strongly preferred
Proficient understanding of the utility regulatory process and rate analysis for both gas and electric utility service
In-depth knowledge of accounting and financial concepts
Excellent user capabilities within the Excel software

Regulatory Analyst Resume Examples & Samples

Evaluate new ingredients and technologies for regulatory compliance against applicable US and Canadian food regulations
Provide input to ingredient specifications in a way that assures ongoing regulatory and internal compliance
Monitor and provide input on strategies to manage current and emerging regulatory issues with potential impact to Campbell Soup Company
Work closely with Campbell Toxicologist to oversee externally contracted safety evaluations for ingredients to support technical, marketing and regulatory and/or nutrition-related initiatives

Regulatory Analyst Resume Examples & Samples

Follow up on current transportation permit obligations, support and coordinate multi-disciplinary teams to prepare regulatory filings
Assist in the preparation and drafting of regulatory filings and the coordination of responses to information requests from regulatory agencies, with special focus on CRE
Participate in transportation tariff applications, financial and regulatory audits
Responsible of the preparation of routine mandatory filings
Provide regulatory economic analysis and recommendations
Provide regulatory research, analysis, support and develop recommendations with respect to TransCanada filings and present recommendations to senior management
Monitor and analyze natural gas, electricity and oil pipeline issues as they arise with Mexican regulatory bodies
Stays abreast of current and proposed laws, regulations and industry developments that may affect TransCanada Mexico projects and initiatives
Support research requests from various departments within TransCanada
Liaise directly with government and regulatory officials and represent TransCanada with pipeline industry members and industry associations
Monitor and analyze the North American energy sector for activities that could affect TransCanada Mexico; provide perspective and support in the development of policy recommendations for Mexico management through Briefing Notes
Other tasks as required
Knowledge of economic concepts and principles
Knowledge of Mexican energy market and Regulations
3-year minimum experience in the Mexican energy sector
Knowledge and understanding of the gas, oil and power business
Strong regulatory research skills
Familiarity with the regulated utility industry
Works well in a team atmosphere

Regulatory Analyst Resume Examples & Samples

Manage the design and project implementation teams in process improvement activities
Leading the implementation and execution of programs on behalf of UHC Payment Integrity
Working with operations to ensure that implementation project plans are developed and executed
Building and maintaining detailed knowledge of business products, solutions, systems, and processes in order to effectively manage process improvement projects
Partnering closely with business leaders and functional owners within the assigned business to collaborate on process improvement opportunities and provide consultation and recommendations as needed
Developing and maintaining strong working relationships with business leadership, legal colleagues, and subject matter experts
Creating business specific reporting to communicate key information and share status updates with stakeholders
Demonstrated knowledge and experience with the UHC Community and State LOB and their FWA Program's processes, procedures and data (Analytics, applications, elements, management, platforms, tool development, and source owners)
Established key relationships within the UHC Shared Services areas that are responsible for C&S regulatory and compliance reporting
Understands the UHC PI organizational structure
3+ years of experience in a healthcare fraud environment
Demonstrated experience in process design, analysis and improvement
Ability to monitor multiple activities and act as a catalyst to assure execution
Solid business acumen and good understanding of business processes and interdependencies
Demonstrated ability to quickly make informed / strategic decisions, and to implement those decisions in a collaborative environment with multiple stakeholder perspectives to achieve desired outcomes
Excels at working in a matrix environment
Must be self-motivated, goal oriented and have the ability to work in a group or independently to successfully resolve complex issues
Highly collaborative style; experience developing, implementing and delivering on effective action plans for regulatory compliance initiatives
Ability to establish credibility and build relationships at all levels
Strong knowledge and experience with the Microsoft Office suite of products
SQL, SAS, SSIS and SSRS, Toad Data Point, Tableau and Platfora
UHC claim data platforms and relevant applications

Regulatory Analyst Resume Examples & Samples

Support all company efforts to ensure that the utilities within assigned jurisdiction(s) receive adequate and timely recovery of its costs
Use analytical skills to develop a solid understanding of various ratemaking policies and concepts, including revenue requirements, cost allocation, cost of service, rate of return, regulatory accounting and the time value of money
Present analytical conclusions (orally and in writing) to management, and other constituents in an organized, concise and timely fashion
Assist in supporting the ongoing relationship between the Company’s assigned jurisdiction(s) and the Public Utility Commission(s) of the assigned jurisdiction(s) by establishing regulatory rapport with the Staff and other members of the external regulatory community
Support business-specific research, analyze data, interpret results and make recommendations that align with Company policies and initiatives
Participate in the development of regulatory policies and initiatives that support business strategies, which support the Company’s long term regulatory goals and support the financial health of the Company
Research and communicate the proper interpretation of rates, rules, and terms and conditions of service to company personnel through written and verbal communications
Support customer service with the implementation of tariff changes and/or new tariffs. Establish and maintain a test protocol to verify changes
Participate in various internal task force groups in order to develop and implement the Company's strategic action plans
Three years relevant experience to the utility rate application and regulatory processes
Three to five (3-5) years of accounting or finance related experience preferred
Experience in rate analysis and rate design beneficial
Proficient understanding of the utility regulatory process and rate analysis for electric utility service
Familiarity with Cost of Service studies, development of adjustment clauses or equivalent experience required
Ability to perform complex analysis
Ability to execute on broad policy goals
Ability to manage multiple tasks/projects

Regulatory Analyst Resume Examples & Samples

Routinely analyzes trading activity in options for indications of potential insider trading
Conducts routine reviews and investigations into possible violations of federal securities laws and FINRA rules
Through the review / investigative process, the Analyst resolves situations that may impact the integrity of U.S. options markets
Interfaces with members, peers, management and others
Bachelor’s degree in Finance, Economics, or Business/ Law Degree/or equivalent work experience in the financial industry demonstrating research/analytical skills
Working knowledge of options as well as relevant FINRA rules and federal securities laws. Ability to conduct telephone interviews. Working knowledge of securities markets. Familiarity with the use of a desktop computer and Excel
A minimum of one year of directly related experience or law degree. Knowledge of options as well as relevant FINRA rules and federal securities laws. Knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete high quality investigations. Competence using a desktop computer with the full suite of office software applications including Excel

Senior Technology Regulatory Analyst Resume Examples & Samples

Monitor and govern regulatory compliance with applicable federal and state regulators in United States (including Federal Reserve Bank of New York, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, and New York State Department of Financial Services)
Interface with regional Technology Compliance coordinators in EMEA, APAC, and LATAM to assist on regulatory inquiries and examinations as requested
Interface with relevant stakeholders including Technology Risk, Information Risk Management, Legal, Operational Risk, and technology subject matter experts
Manage and institutionalize use of formal, documented regulatory response process
Analyze regulatory requests and identify key stakeholders to provide management response
Coordinate regulatory examinations and inquiry responses with input from technology subject matter experts and feedback from Technology Compliance
Review provided artifacts, edit for grammar and singularity of voice, ensure responsiveness to the request, and consolidate into a clear and concise format suitable for presentation to the regulator
Coordinate regulatory meeting presentations with input from technology subject matter experts and feedback from Technology Compliance
BS Computer Science, Information Systems, or other related field; MBA or MS degree in applicable field is highly desirable
Relevant PMI and/or ISACA certifications (including PMP, CISA, CRISC, CGEIT, CISM)
Minimum of 5 years of experience in regulatory compliance and exposure to IT regulatory requirements; experience with any of the above listed regulators is desirable
Experience in and knowledge of financial services industry
Knowledge of technology risk and governance principles
Exposure to Internal Audit processes
Experience with PMI and COBIT process framework, SOX controls, and IT general controls
Strong business and technical writing acumen
Experience in developing and delivering presentations in PowerPoint to senior leaders outlining program benefits, status, issues and recommendations
Ability to work with cross-organizational and cross-functional teams in a global matrix environment

Regulatory Analyst Resume Examples & Samples

Conducts routine reviews and investigations into possible violations of the securities laws, rules and regulations enforced by FINRA
Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant securities laws, rules and regulations enforced by FINRA; performs preventive compliance functions
A minimum of five years of directly related experience. Substantial knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications

Risk & Controls Regulatory Analyst Resume Examples & Samples

Execution of all external GTI cross impacted regulatory & audit exams; working closely with Technology Controls counterparts in respective regions to respond to relevant questionnaires & RFIs
Support the execution of the SSAE16; the firms adherence to Statement on Standards for Attestation Engagements – conducting quarterly testing cycle for GTI including coordination and execution of Request for Information (RFIs)
Provide reporting on progress on all external audits and regulatory engagements as well as RCSA
Identify and executing areas of improvements across internal processes - increasing efficiency and productivity across the GTI Regulatory and Controls organization
Support GTI’s key Control Testing program; RCSA (Risk & Control Self Assessment)
Experience working in Technology Risk & Controls management or Technology Audit functions
Experience working in or with Infrastructure Technology
Understanding of Control Assessments
3+ Years of work experience in Technology Audit, Controls, Regulatory Management or Information Risk
3+ Years working at an Associate level

Regulatory Analyst Resume Examples & Samples

Monitors and updates the Bank’s collateral tracking system for compliance and quality control
Identifies borrower financial document reporting deficiencies and discrepancies, and assist with resolution
Helps Loan Officers and Lending Assistants with financial tracking questions and in getting exceptions cleared
Reviews and compares loan approval documents and loan agreements for financial monitoring requirements and financial covenants
Updates appropriate systems and software with monitoring requirements, administers day-to-day monitoring of borrowing bases and financial covenants
Sets up initial financial monitoring requirements from the daily note list
Downloads and tracks financial documents that are used in underwriting from the loan pipeline
Other duties as required by management
High School diploma, general education degree (GED), or equivalent required. Bachelor’s degree in Business or related field strongly preferred
At least one year of experience with financial statement analysis and a demonstrated knowledge of financial statements, either through related work experience or education required
Must be self-motivated with strong initiative, high level of accountability and attention to detail

Regulatory Analyst Resume Examples & Samples

Review and prepare regulatory filings to the SEC or other regulating agencies/authorities. Promptly identify and elevate issues of concern for review. Ensure filings and other documentation are prepared in a timely and complete manner in accordance with departmental procedures. Review calendars and other resources to ensure same. Effectively employ job-specific technology in preparing filings and other disclosure-related materials. Interact with other divisions within MFS and external business partners/vendors to finalize disclosure and assist in the development of procedures to enhance the quality of and flow of work. Offer suggestions to improve the drafting and review processes
Research filing issues and analyze associated data. Present analysis to co-workers and managers
Develop or assist in the development of guides and manuals for MFS and its employees with regard to disclosure filing issues. Within scope of job, meet with vendors and third parties to evaluate products and services, and coordinate and resolve issues with same
Maintain files and records related to regulatory disclosure matters and ensure that they are kept according to MFS' Recordkeeping Policy as well as in accordance with departmental policies and the regulations of applicable regulating agencies
Assume additional responsibilities as determined by managers

Regulatory Analyst Resume Examples & Samples

0-2 years experience in state and/or federal regulatory and rate setting process, or equivalent experience
Demonstrated financial and accounting knowledge
Effective analytical, problem assessment and problem solving skills
Effective written, oral, and presentation skills
Ability to explain results of analysis and/or research
Demonstrated ability to coordinate processes involving other departments, and to ensure compliance with regulatory filing requirements

Regulatory Analyst Resume Examples & Samples

Establish and maintain the accuracy, currency and integrity of client data and documents as relates to AML / KYC FATCA/CRS and other relevant regulatory frameworks: collect, organize and independently validate client data and documentation, utilize commercial awareness and prudent judgment to independently validation missing or insufficient information, prepare commentary to support analysis and assessment of AML / KYC risk and outline recommendations for the client coverage team; manage business and client expectations for timely completion of onboarding. Comprehensively prepare KYC forms for sign-off by relevant business heads and compliance by evaluating AML / KYC risk supported by robust analysis and assessment
Conduct annual review processes to ensure periodic review of KYC files are conducted on a timely and consistent manner commensurate with the clients’ AML risk ratings
Support remediation of client documents to bring them up to current regulatory standards
Support the ongoing development of both tactical process changes and long term technology solutions to centralize KYC/AML and other regulatory onboarding requirements. Provide local market guidance in the ongoing structuring and rollout of technology and business process changes. This may involve support of business requirements development and participating in user testing. Support the senior managementin developing local implementation plans for global changes and reporting progress against planned objectives
An undergraduate and/or graduate degree in Finance, Business, Economics, or a related discipline is required
3-5 years direct industry experience
Experience in and knowledge of current and expected future regulatory frameworks impacting client onboarding in Canada – namely, KYC / AML, FATCA and G20 OTC derivative reform
Strong interpersonal, communication and negotiation skills in order to build consensus and obtain co-operation from clients, colleagues, and senior management

Mortgage Regulatory Analyst Resume Examples & Samples

Perform diverse, complex and analytical compliance support services to the CFO. Assists with coordination of various compliance functions and responsibilities, as needed
Ensure compliance projects are completed, distributed or implemented in a timely manner
Conduct research requests as directed by CEO
Prepare internal and external departmental correspondence including compliance management reports
Maintain compliance department files and records
Maintain investment compliance books and records related to the broker dealer, insurance agency, investment advisory and other investment division business and compliance activities including records retention schedule
Schedule compliance training
Full use and application of standard principles, theories, concepts, and techniques. Working knowledge of compliance support services

Regulatory Analyst Resume Examples & Samples

A minimum of one to five years of directly related experience
Knowledge of relevant rules and regulations enforced by FINRA
Knowledge of securities markets, member firm operations, books and records

Senior Regulatory Analyst Resume Examples & Samples

Demonstrates advanced competency in performing complex regulatory work and demonstrates advanced knowledge of relevant rules, regulations, guidelines and industry practices
Participates in RSA examination strategy meetings with District Office staff
Regularly monitors and reports on the status of the national RSA examination program
Identifies and leads efforts to prioritize enhancement opportunities for the national examination program
Ensures that all RSA related documents maintained by the department are current and accurate
Analyzes proposed changes to the RSA exam process as requested by clients, rule proposals, amendments, and new RSA rules to determine impact to FINRA examination responsibilities and resources
Responsible for analysis of rule books of RSA clients to determine appropriate examination content coverage
Writes examination policies and procedures, fully addressing applicable rules and regulations, and makes initial determinations as to changes to FINRA examination policies and procedures that may require staff training
Participates in acceptance testing and/or task forces providing feedback and guidance to ensure examination and related programs are efficient and effective
Assists with training on RSA-related issues, as needed. Keeps management updated on notable trends in industry practices, products and procedures
Coordinates and communicates effectively with other FINRA personnel, self-regulatory organizations and agencies
Provides other FINRA Departments, SROs, member firms and others with timely, accurate responses to inquiries
Provides guidance to examiners about applicable rules and regulations in the context of FINRA's RSA examination and other regulatory programs
Leads multiple and complex projects concurrently
Bachelor's degree and a minimum of seven (7) years of Regulatory/Compliance or related experience
Strong analysis skills, writing skills, communication skills, organizational skills, and excellent detail orientation are essential

Regulatory Analyst Resume Examples & Samples

Ensuring regulatory compliance, including formula permissibility, nutrition labeling and artwork review
Managing and assuring new product registration/notifications process through 3rd party consultants/distributors in Brazil, Chile, Argentina, Paraguay and Uruguay
In absence of Sr. Head, participate in industry chambers and associations to elaborate regulatory proposals to protect the Company interests (ABIA, ABIMPAI, ILSI, etc.)
Supporting Innovation initiatives by given Regulatory input in concepts, formulas, ingredient specifications, etc
Approving Marketing advertising and communication

Environmental Regulatory Analyst Resume Examples & Samples

4+ (Four) of E&P upstream and midstream environmental regulatory experience within Texas and New Mexico strongly preferred
Generally familiar with the provisions of the Clean Water Act, The Clean Air Act, The Threatened and Endangered Species Act, National Historic Preservation Act and the regulatory framework associated with those laws as they apply to upstream and midstream oil and gas development activities
A strong understanding of wetland and species habitat delineation procedures, reporting, and permitting, as well as impact mitigation techniques
Experience with ArcGIS tools and functions including, but not limited to, data entry and manipulation, georeference tools, etc., and file organization
Experience and familiarity with BLM processes and requirements strongly preferred
General understanding of FEMA floodplain management program and its mapping resources
A functional understanding of local, state and federal regulatory programs related to upstream and midstream oil and gas development activities
Must be able to effectively interface with a wide variety of people, both internal and external to the company, and communicate effectively through both written word and verbal delivery
Ability to manage one's time, set priorities and manage a heavy workload is required
Strong analytical and organizational skills are required
A willingness to lead, to take initiative and increase technical and working knowledge
Must possess organizational skills and subject matter expertise sufficient to provide full regulatory support for multiple rig lines in an active development program
A working knowledge of the Microsoft suite (including word, excel, outlook power point, etc.) is required
Coordinate the scheduling, direct the workflow, and review/QC the findings and reports of third party environmental consultants who perform on the ground preconstruction environmental assessments of planned earth disturbances associated with upstream and midstream oil and gas development projects
Direct and assist in preparation of the technical details included in regulatory filings required to procure environmental permits and/or other approvals needed for onshore earth disturbance associated with upstream and midstream development projects to ensure compliance with all federal, state and local environmental regulations
Identify and develop environmental mitigation options when project permit conditions of approval necessitate mitigation actions
Prepare and submit applications for FEMA Floodplain permits
Organize and maintain project documentation files and develop reporting tools to keep management and stakeholders regularly apprised of project status, milestones and potential challenges
This position will support efforts to develop new processes and procedures based on results of Regulatory workflow assessments and/or changes in local, state and/or federal regulatory requirements
Serve as the DBBU subject matter expert regarding environmental regulatory issues and keep business unit and managers updated on status of permitting associated with earth disturbance projects
The incumbent is expected to possess the skills and desire to assist the Regulatory team in effectively and efficiently driving knowledge transfer regarding Environmental Regulatory issues and processes across the Delaware Basin Business Unit organization
Represents company at industry and routine agency meetings
Monitor evolving environmental and regulatory issues to identify those potentially impactful to the DBBU development plans and formulate recommendations for strategic and tactical action for consideration by DBBU management
Influences decision making with internal stakeholders to ensure goals and objectives can be met
Assist with preparation of permits associated with water resources
Proactively seek to improve systems, data management processes and their functionality
Design and generate reports, presentations and correspondence as required

Regulatory Analyst Resume Examples & Samples

Working with the regulatory team, prepare and maintain Safety Data Sheets and nutritional value labels for food products
Support senior toxicologists in assessing ingredient, packaging, and product risk and in preparing evidence-based reports
Enter data into SAP and ensure that proper record keeping procedures are followed

Regulatory Analyst Resume Examples & Samples

Bachelor’s degree in a STEM related discipline or Juris Doctorate, plus 2 years relevant experience
Basic knowledge of the technical vocabulary common to the assigned regulatory discipline
Ability to develop knowledge of regulations and standards in consumer products industry
Ability to present standard information, and respond to questions from individuals or small groups of internal or external clients
Ability to read and interpret documents such as legislation, regulations, and laboratory and operational procedure manuals
Ability to resolve problems involving several variables in standardized situations where specific decision-making guidelines exist
Experience in laboratory testing environment (biotech research, environmental testing and other similar type lab experience can substitute for work with consumer products)
Researching regulations and the tracking legislative processes
Managing relational databases and/or providing testing services using a LIMS

Public Utilities Regulatory Analyst Resume Examples & Samples

Knowledge of economics, finance, and statistics
Strong skills in computer software packages related to spreadsheets, data base management, and/or statistics
Ability to handle multiple complex and data intensive assignments with accuracy, to prioritize and meet deadlines
Ability to testify and serve as an expert witness; participate in or lead workshops and public forums
Ability to write persuasive and clear testimony, reports, and comments
Knowledge or experience in the electricity industry, including major challenges facing the utilities and how those challenges are impacting the utilities’ average and marginal costs

Public Utilities Regulatory Analyst Resume Examples & Samples

Copies of CCR 250 and SPB Rules 430-433 are available in the Human Resources Office
Familiarity with energy and/or telecommunications industry structure and related consumer issues
Experience using specific quantitative skills and/or analytic tools to conduct economic, financial and/or policy analyses, including the development of conclusions and recommendations
Experience preparing and making written and verbal presentations, demonstrating the ability to explain issues clearly and concisely
Ability to establish and maintain cooperative and positive working relationships with others
Experience in managing multiple ongoing projects/assignments to successful completion

Public Utilities Regulatory Analyst Resume Examples & Samples

PURA I candidates qualify for a "hire-above minimum' (HAM) with a starting salary of Range A $3,847; Range B $4,168; Range C $5,010 for recruitment and retention purposes
Field work will be conducted primarily in Marin, Contra Costa, Alameda, San Francisco, San Mateo, Santa Clara, and Monterey counties
*TAU appointments may be considered. (PURA II only)
Consumer Protection: analyzes applications from passenger carriers and moving companies, writes decisions to approve or deny a carrier’s application, issues permits and tracks carrier compliance with permit requirements. Conducts outreach events for new applicants and carriers
Analysis: serves a role analogous to that of an “industry division,” and acts as the CPUC’s subject matter expert regarding passenger and household goods carriers. Monitors transportation market developments, technologies and legislation. Provides technical advisory support to CPUC formal proceedings and decision makers via fact-based staff reports, recommendations, and policy and data analysis
Enforcement/Prosecution: investigates carriers based on consumer and external complaints or own initiative; issues citations and fines; prosecutes illegal activities before the CPUC or supports civil and criminal cases brought by local law enforcement, such as district or city attorneys
Demonstrated ability to research regulatory, economic, financial and/or policy matters, identify issues, and recommend effective courses of action
Demonstrated ability to gather and analyze facts, data and/or evidence and develop conclusions
Demonstrated ability to compel regulated entities to provide access to documents, premises, vehicles, and any other materials authorized by statute
Ability to use spreadsheets or other quantitative tools for data and/or financial analysis
Ability to handle multiple assignments, while successfully meeting deadlines
Ability to maintain positive working relationships with other project team members

Public Utilities Regulatory Analyst Resume Examples & Samples

Policy research and analysis. Ability to summarize complex issues and different perspectives
Understanding of microeconomic theory and the functioning of markets
Quantitative analysis, including experience using spreadsheets and spreadsheet models, and the ability to summarize and present statistical information and results in a clear and concise manner
Demonstrated ability to manage multiple projects including coordination with team-members, multiple parties, and ability to set and meet milestones and deadlines with limited supervision
Understanding of California regulatory and policy environment, particularly Commission orders and policies related to clean energy and climate change
Knowledge of, or experience with, grid operator (CAISO or outside of California) wholesale energy market operations and policies

Public Utilities Regulatory Analyst Resume Examples & Samples

Be familiar with complex computer models, review of output reports, and gathering and organization of data
The electric distribution system from a reliability and cost perspective
Dynamics of the CAISO integrated forward market
Work cooperatively with decision makers, market participants, interested parties, and other agencies
Project management and team leadership skills
Excellent oral and written communication skills, including experience writing white papers and reports
Demonstrated ability to manage multiple tasks; prioritize work according to strict deadlines; and exercise independent judgment
Experience using electric reliability simulation software or ability to write analytical code in Python or other programming language
Operational and economic characteristics of various generation technologies
Facilitation of stakeholder meetings or workshops
Familiarity with California and Federal rules and policies governing electric resource procurement and generator operational restrictions
Familiarity with the California legislative process

Public Utilities Regulatory Analyst Resume Examples & Samples

Review and analyze technical documents to successfully extract relevant concepts and quantitative data
Conduct quantitative analysis, including statistical analysis and the creation and/or manipulation of large spreadsheet models
Prepare and present high-quality written documents and informative briefings on complex issues
Coordinate the technical work of teams, plan and facilitate workshops, and be perceived as a skilled and solutions-oriented professional
Take initiative on work assignments, manage multiple tasks, prioritize work according to strict deadlines, and exercise independent judgment
Familiarity with the electric utility industry and its regulation; its history and current trends
Familiarity with utility ratemaking, including the running of utility revenue models to determine revenue requirement

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to manage multiple projects, to set and meet deadlines with limited supervision while keeping management informed of work status, and maintain cooperative and positive working relationships with others
Quantitative analysis, including experience using spreadsheets, and the ability to summarize and present statistical information and results in a clear and concise manner
Excellent written and verbal communication skills, including presenting analysis and recommendations to decision makers
Demonstrated knowledge of the California clean energy programs such as Net Energy Metering, demand response and the California Solar Initiative, as well as relevant technical and regulatory issues, changing market trends, and grid impacts of distributed energy resources
Experience with policy development and/or program implementation for utility distributed generation or demand response programs

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to conduct complex technical, economic, financial, and/or policy analysis and recommend effective courses of action
Demonstrated ability to plan, organize, and coordinate projects and workload, either independently or as the coordinator of a small multi-disciplinary team, to work well in a team environment, and to establish and maintain cooperative and positive working relationships with others
Demonstrated ability to handle multiple assignments, prioritize workload, meet deadlines, and work independently as well as cooperatively on a project team
Demonstrated ability to work well under pressure, and with minimal supervision, to analyze situations accurately and to recommend and take effective courses of action
Excellent written and verbal communication skills, including the ability to keep management informed of work and proceeding status, to prepare testimony, and to write reports, memos, letters, and comments
Demonstrated ability to testify as an expert witness in formal CPUC proceedings or comparable experience, make presentations before decision-makers, defend controversial positions, and articulate recommendations in a diplomatic and persuasive manner
Expertise working with programs in the electric industry, especially energy storage and emerging technologies

Public Utilities Regulatory Analyst Resume Examples & Samples

Candidates who applied previously for this position need not reapply and will still be considered for the position
Conduct independent economic, policy, and technical analyses and research, and draft recommendations on findings. Prepare written and oral reports and briefings for Commissioners, administrative law judges (ALJs), and management on a wide range of regulatory issues pertaining to retail rates and costs
Serve as project coordinator on General Rate Cases and rulemakings. Evaluate utility rate proposals, review advice letters, and draft resolutions
Draft technical and policy recommendations to inform ALJ rulings and proposed decisions, and provide technical support in formal proceedings before the Commission
Evaluate and implement time of use rate options and analyze the interactions of alternative rate designs with distributed energy resource adoption and market development
Analyze proposed legislation and draft alternative recommendations. Assume leadership role in the research and development of annual legislative reports
Facilitate workshops and stakeholder meetings, and participate as a speaker and thought leader in public hearings and forums

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to conduct economic, policy, or technical analyses and research using qualitative information or quantitative data to generate conclusions and recommendations
Demonstrated ability to develop or conduct program/project evaluation and management
Demonstrated ability to perform technical writing regarding regulatory issues, such as; resolutions, reports, legislative analyses, and other written work products that are organized in a logical manner, clear, concise, and understandable
Demonstrated ability to conduct oral communications via briefings, presentations and/or leading workshops, training seminars, or committee meetings
Demonstrated ability to develop and maintain positive working relationships with management and other staff, as well as to effectively work with external stakeholders

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to support complex regulatory proceedings and lead technical research projects using project management and leadership skills
Demonstrated ability to independently analyze, summarize and present data and other quantitative information to decision-makers in the process of preparing and presenting high-quality written and oral testimony, reports, and/or presentations on complex issues
Demonstrated ability to be persuasive in collaborative settings; have excellent oral and written communication skills, including demonstrated ability to summarize different perspectives and issues in a concise, understandable manner; and ability to work cooperatively with other staff, management, decision-makers, interested parties and other state agencies
Demonstrated ability to coordinate the technical work of teams that include consultants and staff; ability to independently plan and facilitate workshops or meetings; ability to work cooperatively on staff teams; ability to identify the need to coordinate with other staff on prevalent issues; and to be perceived as a skilled and solutions-oriented professional
Demonstrated ability to take initiative on work assignments and meet deadlines on fast-turnaround assignments, and keep management informed of status of work and completion time-lines, manage multiple tasks; prioritize work according to strict deadlines; and exercise independent judgment
General familiarity with the Community Choice Aggregation programs and transmission owner rate cases at the Federal Energy Regulatory Commission

Public Utilities Regulatory Analyst Resume Examples & Samples

Experience and knowledge with the California legislative process
Excellent oral communications and written skills to write analyses, memos, and reports; make presentations before decision-makers; defend controversial positions; and articulate recommendations in a persuasive manner
Experience with testifying before the Legislature or in other forums
Experience with analyzing and coordinating analyses of proposed legislation
Ability to work well under pressure, to analyze situations accurately, and to recommend effective courses of action
Experience with evaluating utility filings or other related documents
Ability to develop and maintain key relationships

100

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrate knowledge of the legislative process and/or knowledge of policy issues related to one or more regulated industries (electricity, natural gas, transportation, telecommunications and/or water) under the jurisdiction of the CPUC
Demonstrate experience representing an organization, agency or legislative office, before other agencies of government and/or the Legislature
Experience preparing and making written and verbal presentations to agency management and/or legislators and their staff
Experience analyzing and coordinating analyses of proposed legislation or complex regulatory issues; and experience in assisting in the preparation of proposing written amendments to legislation or proposed regulations
Experience as a project coordinator on matters related to one or more regulated industries (electricity, natural gas, transportation, telecommunications and/or water), including critically evaluating legislation and/or advising decision-makers on various actions for dealing with related policy issues
Ability to work well under pressure and with minimal supervision, to analyze situations accurately, and to recommend and take effective courses of action
Strong leadership skills, professional integrity, and the ability to exercise exceptional communication skills

101

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to conduct the most complex technical, economic, financial, and/or policy analysis and recommend effective courses of action
Demonstrated ability to lead, plan, organize, and coordinate projects and project teams, to work well in a team environment, and to establish and maintain cooperative and positive working relationships with others
Demonstrated ability to handle multiple assignments with accuracy, to prioritize and meet deadlines
Expertise working with programs in the area of electricity procurement

102

Public Utilities Regulatory Analyst Resume Examples & Samples

Ability to conduct complex policy, economic and financial analyses and make appropriate recommendations
Project Management and/or Team Leadership. Ability to plan a project, and set and keep milestones and deadlines. Ability to work on a team
Strong written and oral communication skills, including making presentations before decision makers and articulating responses in a persuasive manner
Demonstrated knowledge and experience with energy policy and utility regulation
Knowledge of customer choice programs such as net energy metering (NEM), community solar, low income solar programs, the self-generator incentive program (SGIP) and integrated distributed energy resources (IDER) planning
Demonstrated experience preparing expert witness testimony and serving as an expert witness in an administrative proceeding

103

Senior Regulatory Analyst Resume Examples & Samples

Demonstrating Initiative – proactively address issues with both short-term and long-term implications
Drive Towards Improvement – optimize use of limited resources
Adapting to Change – handle changing priorities – juggle many assignments
Communication – strong written and verbal
Excellent Information and research skills
Attention to Detail a necessity
Does the right thing
Improves and innovates
Expertise-level knowledge of Dental Product
General knowledge of Supplemental Health, Stop Loss, Group Life, Accidental Death & Dismemberment, Group Disability and Group Vision product portfolio
Ability to interpret and apply state statutes and regulations
High -level knowledge of Phoenix, Doc Auto and OnDemand systems,
High-level knowledge of insurance laws and regulations
High-level of technical proficiency including Microsoft Word and Excel applications
10+ years’ experience in dealing with group insurance contract and regulatory compliance issues in Group & Worksite Products
Yellow/Green belt in Lean Six Sigma a plus

104

Regulatory Analyst / State Con-br Resume Examples & Samples

Promote Compliance as a Core Competency while enforcing compliance with state/federal laws and regulations, risk management policies and company policies affecting Aetna business
Monitor industry and regulatory trends to identify potential risk factors and the need for change
Manage multiple priorities under tight deadlines to advance speed-to-market expectations
Adhere to standard work flow processes on work assignments
Proactively notify business areas of regulatory requirements and changes, and assist the business areas in coordination of implementation
Build effective relationships with state and federal regulators, as well as internal business clients
Solid SERFF filing system experience is preferred
Exposure to multiple states for SERFF submissions
Strong understanding of Medical Products in large group, small group, and individual lines of business
In-depth knowledge of the regulatory insurance environment
Excellent written and verbal communication skills, and the ability to interact effectively with different audiences

105

Psegli Lead Regulatory Analyst Resume Examples & Samples

Assist in the monthly revenue analysis and variance explanations
Prepare and document annual revenue budget model, including gaining advanced understanding of all components of revenue and their correlation to specific areas of the business. Develop expertise as a subject matter expert in the calculation and analysis of revenue
Perform ad hoc analyses of revenue related to a wide variety of inquiries from upper management
Identify areas for process improvements through automation (e.g. excel formulas/macros) to reduce manual errors in monthly revenue reporting process and annual revenue budgeting process
Assists with various audit tasks, including providing support/and or documentation for internal and external audit and various ad-hoc reports needed
Assist in creation of rate case schedules to be prepared and be provided to our regulator
Responds to and resolves issues and requests from other business areas and client (LIPA) regarding various regulatory inquiries
Researches open revenue/regulatory issues and recognize potential issues and/or conflicts so corrective actions can intercept and minimize issues
Fosters an open and collaborative relationship with our regulatory (Department of Public Service) and client (LIPA)
Prepare detailed and accurate financial data schedules as requested in support of the interim and annual external audit
Research data sources and select relevant financial information in order to enable analysis of key themes and trends
Promote and implement procedural best practice by standardizing control checks and reporting in order to ensure all working practices are compliant with PSEG-LI policies, US GAAP and regulatory requirements
Protects organization’s value by keeping information confidential
Updates job knowledge by participating in educational opportunities; reading professional publications; maintain personal networks; participating in professional organizations
Keep up to date with financial regulatory developments in order to ensure the optimization of best practice for PSEG-LI
Minimum 7 years of relevant experience
Bachelor’s degree in Accounting, Finance, or Economics
Experience with the utility and/or highly regulated industries
Microsoft suite proficiency
Ability to interact with all levels of management. Strong interpersonal skills
Successful candidate must demonstrate and value differences in others' strengths, perspectives, approaches, and personal choices
Strong analytical skills, with the ability to think from an objective perspective
Ability to make sound judgments within established policies and procedures as well as challenge current processes in order to achieve greater efficiencies
Strong organizational skills and project management skills
Candidate must foster an inclusive work environment and respect all aspects of diversity. Must demonstrate and value differences in others’ strengths, perspectives, approaches, and personal choice

106

Regulatory Analyst, / III Resume Examples & Samples

Detail-oriented and able to handle multiple priorities and meet deadlines
Excellent interpersonal and communication skills in dealing with internal and external customers
Advanced knowledge in the use of Microsoft Office Suite applications
Must maintain highly confidential and sensitive information

107

Regulatory Analyst Resume Examples & Samples

Prepares, reviews and ensures accuracy of Key Investor Information Documents (KIIDs) and Key Fact Statements (KFS) for the Luxembourg funds and/or other related activities. Coordinates and prepares KIID and KFS document updates as warranted. Manages each update to the designated timeline and ensures timely and complete preparation of all materials
Requests and imports data using an automated disclosure library feature. Reviews and ensures accuracy of data imported into the disclosure library database. Helps to determine documentation requirements, and makes assessments as to what is required to meet requirements and deadlines. Maintains reference files and communications regarding documentation and related requirements. Ensures that work is performed in accordance with set deadlines
Inputs new or updates existing disclosure and/or creates new or updates existing KIID and KFS documents in the disclosure library database for any changes to facts, documentation, legal requirements, etc. Works with internal and external parties to gather required documentation and prepare all updates
Assists with document procurement, preparation and dissemination activities related to the annual Disclosure Verification initiative, including meeting participation and issues documentation/resolution as required
Works with senior management, internal and external business partners and vendors to bring assigned projects to fruition
Assists in development and maintenance of guides and manuals related to KIID and KFS creation, maintenance and registration filings. Increases technological knowledge to fully employ systems utilized in the fund disclosure process, and continues to build these skills during tenure
Assumes additional responsibilities as required

108

Senior Regulatory Analyst Resume Examples & Samples

Monitor, analyze and make recommendations regarding the need to file or revise rates and tariffs taking into account the Company's business strategy as well as FERC and/or contractual requirements
Prepare cost of service, cost allocation and rate design studies in support of the Company’s rate and tariff filings with the FERC
Provide rate and regulatory advice in support of the Company’s day to day operations and its strategic initiatives
Develop rate structures for new services and for pipeline expansion projects
Maintain internal models, systems and information required for Section 4 or 5 rate case filings
Assist in the preparation of quarterly reports tracking TGP’s financial performance, shipper contracts and volume information
Monitor TGP’s profitability using actual and budget information
Maintain and update tariff rates as needed
Communicate rate administration policy with internal departments and ensure compliance with the policies
Manage and maintain positive relationships with internal and external customers
Represent the company in regulatory hearings, FERC audits, as well as in negotiations with Commission Staff and customers
Bachelor’s degree in Engineering, IT or similar quantitative discipline coupled with MBA degree preferred
Understanding and knowledge of FERC’s system of accounts and of all required statements used in Section 4 or 5 rate case filings
Knowledge of FERC regulations and requirements for rate case and certificate filings
Knowledge of pipeline services

109

Regulatory Analyst Resume Examples & Samples

Analyze formulation data for variety of food products and enter data into proprietary database
Ensure that data is accurate and compliant with FDA/USDA regulations
Generate nutrition sheets for industrial customers

110

Regulatory Analyst Resume Examples & Samples

Provides supporting information for pricing products, services, and cost recovery mechanisms
Ensures timely filing of rate applications and compliance documents, by providing support as needed
Gathers and provides supporting information and documentation for regulatory filings and compliance documents
Prepares work papers, analyses, and discovery responses
May prepare and submit regulatory filings
May prepare rate analysis for incremental projects
Monitors regulatory changes, and provides information to ensure compliance with regulatory commission directives
Provides research or gathers supporting information that may be presented to regulators, internal and external counsel, and outside consultants
Maintains tariff and related information
Acts as supporting resource, for internal and external inquiries, regarding routine rate and regulatory matters
May assist with analysis of regulatory earnings and revenue requirements of current and future periods, which may support rate adjustment clauses
Strongly preferred: Bachelor's degree in Accounting, Finance, Business or Economics
Demonstrated financial and accounting knowledge typically acquired through a degree program and/or work experience
Proficient with Excel
High School Diploma / GED required
Education Level: Degree (preferred) or an equivalent combination of education and demonstrated related experience may be accepted in lieu of preferred level of education
Strongly Preferred Bachelor's: Accounting, Finance, Business or Economics
Other disciplines such as Engineering or Mathematics may be considered if other requirements are met

111

Regulatory Analyst Resume Examples & Samples

Perform and coordinate complex research on energy (electricity and natural gas), telecommunications, transportation, regulatory and consumer protection issues
Develop written and oral reports of Public Counsel positions, including expert testimony, as appropriate
Coordinate and work on collaborative research projects
A letter of interest, describing their specific qualifications for the position
A current resume detailing experience, education, and current salary

112

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to conduct policy research and analysis. Ability to summarize complex issues, characterize different perspectives and to recommend effective courses of action
Demonstrated project management and team leadership skills: ability to manage multiple projects; to set and meet deadlines with limited supervision; work on a team; and maintain cooperative and positive working relationships with others
Experience relevant to policy development and/or program implementation for utility distributed generation and/or low-income energy programs, including the AB 693 and Multifamily Affordable Solar Housing (MASH) programs
Demonstrated knowledge of the California Solar Initiative and Net Energy Metering tariffs, relevant energy market trends, and distribution grid impacts; and how these technical and regulatory issues may impact the design and implementation of a new low-income solar rooftop program
Experience with organization and facilitation of stakeholder meetings or workshops
Ability to conduct quantitative analysis, including experience using spreadsheets and spreadsheet models, and the ability to summarize and present statistical information and results in a clear and concise manner

113

Public Utilities Regulatory Analyst Resume Examples & Samples

Policy research and development. The ability to summarize different perspectives, identify and prioritize issues, develop solutions and make recommendations
Quantitative analysis. Experience working with spreadsheets and large quantities of data
Project management and team leadership skills. Ability to plan a project and set and keep deadlines
Ability to work cooperatively with decision makers, market participants, interested parties, and other agencies
Excellent oral and written communication skills, including experience writing white papers and reports and presenting to internal and external stakeholders
Familiarity with and understanding of California’s energy market structure
Familiarity with and understanding of California’s resource adequacy and procurement policies

114

Product Stewardship & Regulatory Analyst Resume Examples & Samples

Support development of safety data sheets (SDS) and hazard labels for products and samples including
Authoring and generating SDS and labels
Application of current regulations impacting SDS requirements worldwide ( REACH, CLP, GHS) to SDS and label development
Evaluate SDS and label implications of product introductions and process changes
Developing and maintaing hazard communication management processes and updating documentation
Participate in the development and continuous improvement of PS&R processes and systems
Respond to customer questionnaires
Bachelor’s degree in science field

115

Regulatory Analyst Resume Examples & Samples

Review material provided from Pricing Analysts/Business Analysts/Actuaries and confirm info is complete and accurate before submission to State Insurance Departments for regulatory review
Compose submissions to State Insurance Departments that clearly and accurately communicate the changes being made to State Auto’s rates/rules/forms
Use electronic filing systems for the submitting, documenting, and amending filings
Provide data and completed Insurance Department forms
Perform basic mathematical calculations
Use spreadsheet and database software
Clearly communicate progress of multiple projects to staff
Complete file documentation for future internal reference and audits/exams

116

Regulatory Analyst Resume Examples & Samples

Coordinates with other CenterPoint Energy Minnesota departments to provide regulatory monitoring to ensure that Conservation Improvement Program (CIP) programs are delivered consistent with internal policy and all regulatory and legislative requirements
Ensures that programs are delivered accurately and efficiently and in full regulatory compliance
Monitors program performance and provides regular reports results to management on performance and budget status of programs
Develops and implements measures to assure appropriate regulatory oversight of each program, including participant eligibility and performance by program implementers
Assists in preparation of CIP regulatory filings by ensuring that all information provided is supportable and accurate
Evaluates existing company sponsored CIP programs and CIP-related activity and communicates results to the appropriate internal and external parties
Recommends implementation of procedural improvements as a result of evaluations to ensure CenterPoint Energy Minnesota CIP programs remain cost-effective, achieve high customer satisfaction, and meet all regulatory requirements
Researches, tracks and reports CIP activities of other utilities in Minnesota and throughout the nation
Monitors and participates in policy discussions with external parties (including regulators, advocates, and other interested parties) pertaining to energy efficiency
Able to demonstrate strong organizational skills and attention to detail
Able to monitor and evaluate programs, including data-gathering, analysis and presentation
Able to demonstrate strong analytical and critical thinking skills
Able to gather, analyze and interpret data and prepare management reports
Able to build constructive and effective relationships
Able to use diplomacy and tact
Able to demonstrate integrity, ability to learn, results orientation and a sense of how to balance urgency and quality
Able to demonstrate excellent verbal and written communication skills
Able to demonstrate knowledge of cost/benefit analysis
Able to make sound judgments based on available information and independent problem solving
Able to multi-task and manage several projects or activities at one time
Able to work effectively in a team, providing leadership and guidance
Able to demonstrate strong presentation skills
Able to relate well to all kinds of people at all levels inside and outside organization
Able to utilize mainframe and/or personal computer systems and software proficiently, such as electronic mail, spreadsheets, word processing, presentation software and SAP

117

Customer Regulatory Analyst Resume Examples & Samples

With oversight, prepare regulatory filings related to company rules and regulations including testimony, exhibits, data responses, and supporting documentation for the states' commissions
Represent the Company to support regulatory initiatives to regulators and/or their staffs, key community and customer groups, and other company departments
Interpret rules and regulations on their application to internal and external parties
Participate in training, communicating, and system changes to support any changes to rules or regulations
With oversight, prepare analysis and provide alternatives and recommendations to department management to influence decision making regarding regulatory policies and strategies
Review and prepare cost analysis on Schedule 300 charges in each state. Work with applicable business units to prepare testimony, answer data requests, and communicate with the other business units the results of any changes
Interface and work with state regulatory commissions on customers’ complaints and the appropriate application of company and commission administrative rules
With oversight, prepare and participate in formal customer complaint proceedings, and hearings
Resolve escalated issues within the timelines established in Performance Standard 6 and administrative rules with a focus on service recovery for our customers
Make recommendations and facilitate improvement initiatives with business units to improve processes, efficiencies while ensuring compliance with rules and regulations
Perform other duties and special projects as assigned such as liaison to low income assistance agencies, and identify ways to reduce customer complaints, and process improvement projects
Independently prepare regulatory filings related to company rules and regulations including testimony, exhibits, data responses, and supporting documentation for the states' commissions
Independently, present analysis and provide alternatives and recommendations to department management to influence decision making regarding regulatory policies and strategies
Prepare and participate in formal customer complaint proceedings, and hearings

118

Regulatory Analyst Resume Examples & Samples

Paid holidays
Access to continuing education via the Kelly Learning Center
Responsible for managing regulatory functions for Health plans, including state regulatory filings, report submission, handling member and provider complaints via an Agency portal
Assist in data collection for reporting to committee meetings
Submission of required documents to State Agencies; receiving, managing and responding timely to all member and Provider complaints received via State Agency portal
Update member handbooks
Participate in meetings
Receive and Respond to multiple Agency submitted member and provider complaints Collaborate with other Plan Dept Associates and shared services associates
Be able to clearly communicate request, expected response and due date Ensure timely receipt of responses from Associates Respond timely to al Agency requests
Assist in reviewing and updating member handbooks and other collaterals Assist in submission of assigned reports to the Agency
Important information: This position is recruited for by a remote Kelly office, not your local Kelly branch. (matm084@kellyservices.com), however, your resume should be uploaded via the “SUBMIT RESUME” button included within**

119

Senior Regulatory Analyst Resume Examples & Samples

Gathers and synthesizes information from multiple sources in a meaningful manner
Conducts research using regulatory websites and/or using industry resources
Applies knowledge to business practice, communications or procedures to draw conclusions and to recommend appropriate action
Clearly and succinctly communicates findings to business partners, representatives, and management, in manner that helps stakeholders understand the regulatory requirements and related risk
Partners with key stakeholders in a collaborative manner
Identifies and takes action to correct compliance deficiencies
Performs testing and monitoring functions
Represents the interests of unit on cross-organizational initiatives and leads in-unit projects; Leads/supports key regulatory/compliance initiatives within the unit, division and corporate projects
Regularly interacts with regulators/auditors
Develops, maintains, and implements policies and procedures
Decides most efficient use of time to balance competing demands under time constraints. Impact may be mid-range to longer term and extend beyond the unit or division
Utilizes sound business judgment to determine the materiality of compliance issues and understands the risk impact to the organization
Potential backup for Branch Exam team. Conduct Branch Exams, if needed, with travel required (approximately 2-3 weeks per year)
3 + years industry experience
In-depth knowledge of applicable laws and regulations, regulatory requirements and industry best practices
Maintains a thorough level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory and related product lines required)
Suitability and Surveillance: Understanding of Broker-Dealer and Investment Adviser regulations relative to financial services industry. FINRA Series 7, 24, and 66 or 63/65 required or obtained within 90 days of hire/transfer

120

Insurance Regulatory Analyst Resume Examples & Samples

Working knowledge of insurance principles and practices and department regulation
Working knowledge of mathematics, with some knowledge of the fundamentals of statistics
Working knowledge of North Carolina General Statutes, North Carolina Administrative Codes, and North Carolina insurance laws and regulations
Considerable professional skill and/or knowledge in the concepts related to insurance companies and other regulated entities
Strong understanding of insurance concepts
Understanding of NAIC guidelines and state laws and regulations
Working knowledge of insurance rate-making procedures and practices, policy contract and manual provisions, or insurance company operations
Demonstrated ability to determine compliance with applicable standards, principles, laws and regulations
Demonstrated ability to apply knowledge independently
Demonstrated ability to manage time effectively to ensure that projects are completed in a timely manner
Demonstrated ability to apply knowledge toward developing recommendations and conclusions and document facts, findings, conclusions, and recommendations; and
Ability to interpret and apply provisions of the insurance laws to rate filings or premium calculation
Demonstrated ability to communicate effectively both verbally and in writing with the general public, Department management, and management of the regulated entities

121

Senior Regulatory Analyst Resume Examples & Samples

High-level knowledge of Group and Affinity/Association products
High-level of technical proficiency including Micro-soft Word and Excel applications
10+ years’ experience in dealing with group insurance contract drafting and regulatory compliance issues

122

Regulatory Analyst Resume Examples & Samples

3+ years oil and gas related experience or demonstrated knowledge of the industry
Regulatory and compliance experience a benefit
Strong computer skills using Microsoft Office applications and internet applications
Flexibility to work in a fast paced, dynamic, multi-task, customer service environment
Strong ethics, service attitude, team player
Working knowledge of Microsoft Office, Open Wells, LOWIS
Public speaking

123

Regulatory Analyst Resume Examples & Samples

Responsible for maintaining databases and spreadsheets to track the Department’s multi-function device leases and monthly usage data
Analyzes multi-function device reports, consults with program areas regarding needs and recommends equipment changes, as needed
Creates purchase requisitions for new multi-function devices and coordinates delivery and installation of new devices with vendors and the Department's Technical Assistance Center (TAC)
Monitors MFMP purchase orders, balances and encumbrances on multi-function device leases, and coordinates with the Bureau of Accounting for reconciliation
Records multi-function device invoice information, meter allowance, billable copies, minimum meter charges, credit allowances, and cost
Examines, verifies, logs, and processes for approval all invoices received relating to the Department's multi-function devices
Gathers, consults, and researches information to assist Department members with issues that may arise and provides viable solutions
Schedules and coordinates multi-function device maintenance and service calls
Schedules and coordinates the removal of multi-function devices at the end of the leasing period
Ability to maintain a high level of organization and attention to detail
Knowledge of Microsoft Word, Excel, Outlook and SharePoint
Knowledge of MyFloridaMarketPlace (MFMP)
Ability to maintain files, records and databases
Ability to verify documentation and reconcile invoices
Ability to organize data into logical formats for reports, documents and other written materials
Skill in providing customer service to internal and external stakeholders in a tactful, courteous and non-judgmental manner

124

Regulatory Analyst DJ Basin Resume Examples & Samples

A functional understanding of local, state and federal regulatory programs related to upstream and midstream oil and gas development activities
Ability to manage one's time, set priorities and manage a heavy workload with critical deadlines is required
A willingness to lead, take initiative and increase technical and working knowledge
Must possess organizational skills and subject matter expertise sufficient to provide full regulatory support for post-drill reporting responsibilities
A proficient knowledge of the Microsoft Office suite (including Word, Excel, Access, Outlook, PowerPoint) is required
Work collaboratively with other disciplines within the Corporation to compile information required to file post-drill regulatory forms
Monitor regulatory filing due dates and organize workload that allows for meeting all agency required deadlines
Organize and maintain reporting tools to keep management and peers regularly apprised of filing statuses, milestones and potential challenges
Ability to assist in data collection using Microsoft Office suite
Ability to communicate regulatory requirements and practices to internal stakeholders to ensure compliance with agency rules and regulations
Ability to keep business unit staff and managers updated on potential changes to agency rules and regulations
Proactively seek to improve systems, data management processes and their functionality
Design and generate reports, presentations and correspondence as required

125

Compliance Regulatory Analyst Resume Examples & Samples

Assist with the implementation of the Compliance program for Florida Prestige
Assist with the HIPAA desk audits
Assist with compliance monitoring and auditing activities to ensure contract compliance
Assist with training staff on Compliance and HIPAA
Generate compliance and privacy activity reporting
Assist with State complaints and maintain a log for all complaints
Maintain all Florida Prestige policies and subcontractor policies that reflect Florida Prestige
Distribute State e-mails to appropriate staff
Review Medicaid policies and contract changes to determine impact to the plan
Maintain contract compliance log of Medicaid policy and contract changes and distribute to appropriate staff
Manage all the MI Health account files and generate monthly MI health account reporting
Assist with member materials and marketing approvals
Assist with State Compliance Audits
Act as the administrator for all State applications
Bachelor’s degree or equivalent education and experience in a compatible field (e.g., Business, Healthcare Administration, etc.) preferred
One to three years or more in healthcare/ insurance, preferably in managed care
Familiarity and experience with Government Programs and contracts in the state of Florida
Proficiency with Microsoft Office Suite preferred

126

Regulatory Analyst Resume Examples & Samples

Minimum of one (1) year work experience in an Environmental, Health, Safety (EHS) and/or regulatory role related to the REACH regulation
Bachelor's degree or higher in Chemistry, Chemical Engineering, or Biochemistry from an accredited institution
Minimum of two (2) years’ experience working with the REACH regulation
Experience working with suppliers to obtain raw material data, especially under Confidential Disclosure Agreements

127

Associate Regulatory Analyst Resume Examples & Samples

Assists with the analysis and strategy for regulatory filings, general rate and regulatory filings at the state and federal commissions
Assist in analysis and strategy on matters affecting CenterPoint Energy’s businesses at federal agencies, such as the Federal Energy Regulatory Commission and the Federal Communications Commission
Support CenterPoint Energy’s competitive gas services businesses in local, state and federal administrative proceedings and related appeals of agency decisions, legislative activities, investigative and enforcement matters
Assists in preparation of portions of or less complex regulatory filings including testimony, schedules, work papers, requests for information and briefs on a timely basis and ensures compliance with all regulatory requirements
Gathers and analyzes financial information and operating statistics and their impacts for the development of regulatory strategies
Gathers and researches regulatory policies of various commissions and other utilities
Establishes and maintains communications with members of the various CenterPoint departments
Works with other departments relative to identifying and researching current issues or trends affecting regulatory environment
Attends workshops and conferences to monitor regulatory proceedings to learn about trends, issues, or decisions that affect CenterPoint
Able to make assignments to project teams and follow through to implementation
Able to demonstrate a high level of initiative and the ability to work well within a team and to marshal resources (professional staff, legal counsel, consultants, etc.) as necessary to develop and maintain support for rate or regulatory matter or to influence regulatory policy
Able to develop and maintain relationships with outside groups such as the public utility commission staff and industry associations
Able to analyze public policy, especially regulatory policy, for its effect on CNP’s business environment
Able to communicate ideas persuasively to others within CNP, as well as outside
Able to learn and apply knowledge of policies, procedures, laws and regulations affecting rate and regulatory reports, rate filings, tariffs, and other rate and regulatory matters
Able to utilize mainframe and/or personal computer systems and software proficiently, such as electronic mail, spreadsheets and word processing software such as Excel, Word, and Power Point
Able to learn and apply knowledge of CNP’s corporate policies and procedures
Able to understand CNP’s corporate strategy, business model and processes
Able to manage multiple projects and priorities
Able to recognize and handle confidential information in a discreet manner
Able to provide a valid state driver’s license, present and maintain a good driving record and operate company vehicles safely and in compliance with applicable laws and company policies

128

Corporate & Regulatory Analyst Resume Examples & Samples

Statutory accounts for the London and Singapore marketing hubs
Support in the preparation of financial data for GTP submissions
Preparation of data for GST and VAT return submissions for the hub entities,
Provides support on the Corporation tax returns process,
Prepares insurance and statistic submission
Consolidated board report submissions
Assist with preparation of consolidation of marketing performance reporting results
Understanding of Financial Planning & Analysis (FP&A) processes (Level 1): Performs financial recording in accordance with group accounting principles
Local statutory accounting standard and tax law
Systems Configuration and Application (level 1): Is aware of how technology can be deployed to deliver efficiency, effectiveness and control to meet the defined business requirements. Understands the fundamental principles of effective financial systems
Proven track record in finance or audit role
Working experience in trading or commercial environment
Hand on experience in using integrated ERP system such as SAP and Hyperion

129

Senior Regulatory Analyst Resume Examples & Samples

Lead cross-functional teams to complete mandated DSM plans and interface with business unit leadership and management and individuals from other internal organizations including Rates, Law, Regulatory & Government Affairs, Corporate Communication, and Resource Planning
Manage and prepare regulatory testimony, exhibits, data requests, filing packages, comments and reports for filing with regulatory bodies. Ensure compliance with all demand side management and demand response regulatory and legal requirements across all Company jurisdictions. Oversee large project initiatives to ensure proper management and cost recovery
Assume lead responsibility for presenting to and maintaining relationships with internal and external parties. Represent Xcel Energy and participate in regulatory agency functions such as open meetings, workshops, hearings, and private discussions on issues of interest to the company. Prepare summaries of regulatory activities and position papers; make oral briefings to executives, management, and employees
Develop and maintain demand side management tracking systems to ensure that historical and forecasted long-run impacts are maintained and updated as necessary for each jurisdiction. Advise on business-integrated resource planning efforts and analyze and report on changes in regulations and their expected impacts. Assess regulatory developments in other states relative to DSM and maintain a knowledgebase of alternative methodologies and regulatory structures
Initiate, advise and strategically negotiate agreements with regulators and interveners to settle regulatory cases and align with corporate strategy
Manage overall DSM financial operations, including cost recovery and controls and ensure accurate financial reporting. Monitor and maximize performance-based incentives

130

Regulatory Analyst Resume Examples & Samples

Strong communicator with the ability to effectively collaborate, partner and consult with regulators, senior leaders and business partners
Excellent strategic thinking, analytical and problem solving skills and ability to identify potential compliance issues, potential root causes, and feasible operational solutions
Strong time management and MS Office skills

131

Wealth Management Regulatory Analyst Resume Examples & Samples

Monitoring daily trading activity/active accounts via Sungard system
Reviewing Supervisory emails via Zantaz surveillance incl. fax approvals
Review communications with the public, presentations, pitch books etc
Review and approve assets movements, orders and Account opening / change process
Maintain and enforce compliance with all relevant policies and procedures
Real time trade approvals for the branch
Assist with regulatory projects from time to time
Handle customer complaints and timely solutions
Candidate must have meaningful, relevant brokerage and or banking experience and possess the ability to prioritize multiple high level tasks
Must have excellent understanding of various financial products and services offered within a wealth management organization
RIA experience is desirable
Series 7,63/66, 24 mandatory, may also need Series 9 & 10 in future
Regulatory & Supervision experience (Wealth Management is a big plus)
Must be detail oriented and have an analytical mindset with the ability to deliver key insights/solutions through ‘out of the box’ thinking
Prior experience working with an international clientele preferred
Team player, strong verbal, interpersonal and communication skills
Well motivated and enthusiastic team player, able to work with others in a fast paced, independent and dynamic financial environment
Escalate and highlight issues with excellent decision making skills

132

Ahca Regulatory Analyst Resume Examples & Samples

Knowledge of accounting principles and procedures
Knowledge of the methods of compiling, organizing, and analyzing data
Knowledge of basic mathematics
Ability to use Excel, Word, and Outlook at an intermediate to high level
Ability to review, analyze, and evaluate financial data
Ability to develop various reports
Ability to establish and maintain effective working relations with others
Ability to plan, organize, and coordinate work assignments
Knowledge of Medicaid rate setting procedures
Ability to coordinate and maintain an efficient intake processing system of documents
Strong knowledge and skill in communication
Ability to establish and maintain effective working relationships with internal and external customers
Ability to work independently and in a team
Skilled in Microsoft Office programs, including Outlook, Excel, and Word
Ability to analyze data effectively

133

Regulatory Analyst DJ Basin Permitting Resume Examples & Samples

A minimum of 2 years of upstream oil and gas industry regulatory experience is required; experience in the state of Colorado is strongly preferred
Must be able to effectively interface with a wide variety of people, both internal and external to the company, and communicate effectively through both written word and verbal delivery
Strong analytical and organizational skills are required
Must possess organizational skills and subject matter expertise sufficient to provide full regulatory support for State/Federal permitting responsibilities
A proficient knowledge of the Microsoft Office Suite (including Word, Excel, Access, Outlook, PowerPoint) is required
Experience using ArcGIS and associated software is preferred
Work collaboratively with other disciplines within the company to compile information required to file Form 2/2A with the Colorado Oil and Gas Conservation Commission
Prioritize and organize workload based on operations schedule
Maintain database to identify regulatory requirements and inform time-sensitive notifications for assigned projects
Organize and maintain reporting tools to keep management and peers regularly apprised of filing statuses, milestones, and potential challenges
Ability to work across disciplines to assist the Regulatory and External Affairs team in a variety of projects
Ability to represent Anadarko at state and federal agency interactions
Ability to keep business unit staff and managers updated on permit statuses and articulate potential changes to agency policies, rules, and regulations
Design and generate reports, presentations, and correspondence as required

134

Regulatory Analyst Ingredients Resume Examples & Samples

Determine labeling terms to be used for finished products with consideration of business needs for transparency
Respond to internal and external customer inquiries regarding use and function of ingredients
Resolve regulatory questions with suppliers during the ingredient and formula review process so that business and Quality needs are addressed prior to approval and use
Gather regulatory and nutrition-related ingredient information for use in product information databases or as part of corporate social responsibility indices
Manage documentation to preserve integrity of files needed to substantiate labeling with regulatory agencies

135

Clinical & Regulatory Analyst Resume Examples & Samples

Requesting Argus output for inclusion in Aggregate reports
Argus case entry to be able to perform QC check of IT Output and contributing to aggregate report submissions in a timely manner
Requesting the IT output for the appendices, and performing a QC check of that output

136

Brokerage Operations Control & Regulatory Analyst Resume Examples & Samples

Performs analyst work, including reviewing, analyzing, and evaluating business systems, processes, data, and user needs at the National Financial Services Product suite platform level
Provides references for users by creating and maintaining documentation, providing support, and training for brokerage processes
Manages and successfully delivers moderately complex projects
Works independently to identify issues/opportunities and create solutions to minimize risk and unnecessary cost to the department
Provides professional, quality customer service and consultation to department personnel, new and existing members, Wealth Advisors, Financial Representatives, and other field personnel as it relates to changes to existing and creation of new regulatory/procedural controls
Ability to solve problems through systematic analysis of processes with sound judgment; has realistic understanding of relevant issues
Evaluates and analyzes various options and ultimately recommends the course of action to take for policy and procedure/control improvement and implementation
Understands long term vision for the brokerage business develops solutions to minimize current and future risk to the organization
Associates degree or equivalent
3+ years of experience in brokerage and/or advisory
Experience in the business system analyst field or related area strongly preferred
Mid to high levels of analysis and independence
Experience in various applications, tools or methods as required for the function and/or business area
Intermediate to advanced knowledge of Microsoft Excel
Possesses basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required
Maintains an understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, margin, advisory and related product lines required)
FINRA Series 7 & Series 63/65 or 66 required or within 90 day of hire/ transfer

137

Regulatory Analyst Resume Examples & Samples

Prepare securities filings for variable life and variable annuity products
Regulatory examination support (SEC, FINRA)
Contract review for broker dealer and variable insurance separate accounts
Support various tasks with respect to fixed and variable products
Provide support for Investment Products and Securities Regulation Team attorneys and work with other Regulatory Analysts as assigned
Support tasks associated with variable product fund managers
Preparation of periodic compliance reporting to parent company
Support for integration of acquired blocks of variable products
Research projects as needed
Additional duties as appropriate given experience and talent

138

Prin Regulatory Analyst Resume Examples & Samples

Act as project manager for regulatory filings, audits and/or special projects. ; Plan, coordinate and manage the implementation of the assigned filing, audit or project. ; This includes recommendations to appropriate management and other departments in the development of filings and positions on, and responses to, information requests. ; Manage activities of the regulatory and multifunctional staff as assigned
Perform accounting, tax, financial, economic and other quantitative and qualitative analyses of regulatory matters. ; Responsibilities include research, analysis, coordination with finance, accounting. legal and other departments, monitoring and the preparation of appropriate written and oral reports for management
Coordinate and provide quality assurance in the preparation or drafting of written testimony, regulatory schedules, special regulatory audits and post-filing implementation requirement activities
Participate in and/or monitor regulatory hearings, proceedings and meetings. ; Analyze impacts on the company and prepare appropriate reports to management identifying issues and suggesting appropriate actions to address issues raised by commission decisions and rule making. ; Communicate relevant information to regulatory departments and other Exelon departments effected by the regulatory issues
Promote and maintain regular relationships with state regulatory agency staff pertaining to the areas of ratemaking, economics and audit
This position has a direct impact on the utilitys ability to successfully implement its regulatory strategy for utility cost recovery and strategic business objectives
The position has significant interrelationships both internally and externally. ; Key internal relationships include regulatory, finance, accounting, treasury, and legal, as well as other operational and support groups within ComEd and its affiliates. ; Position requires strong aptitude for project management of cross-functional teams. ; In addition, the individual is regularly called upon to provide guidance, analysis, quality assurance and advice to company personnel with regards to complex regulatory issues. ; Financial modeling skills are preferred
The position requires that it be a trusted and reliable conduit of information to, and feedback from, the regulatory agencies and other internal and external parties involved in the regulatory processes that impact the Company. ; In doing so it is required that the position be able to interface with regulatory staff, intervenors and consultants demonstrating cooperation, tact, diplomacy and excellent judgment to further ComEds credibility; and strategic business objectives
Work is complex in nature, and involves both strategic thinking, technical and financial analysis, and an attention to detail, in order to quickly assimilate and implement new regulatory concepts under tight time constraints. ; At certain points in time, the position requires extended hours in order to prepare regulatory filings
This position will also, as appropriate, provide functional direction, leadership and instruction to others in the department on project teams demonstrating judgment and communication skills
Generally operates with minimal supervision

139

Regulatory Analyst Resume Examples & Samples

Ensure all actions are consistent with NorthWestern Energy's values, mission, and strategic business objectives
Assist in the development and processing of regulatory filings
Assist in the development, analysis, and review of information and studies related to rates, revenues, tariff schedules, service, and customer data
Assist in maintaining the company's revenue database (Business Warehouse) and generate related reports
Coordinate with other NorthWestern functional areas to support timely and quality completion of regulatory filings and to help ensure revenues and expenses are properly recorded
Represent the company at public and government agency meetings, including testifying before regulatory agencies
Develop and maintain professional relationships with regulatory agency staffs
Respond to requests and questions from internal personnel and regulatory agencies
Proficiency with Microsoft Office suite of applications
Ability to become proficient with the application of the company's policies and procedures, revenue requirement-related processes, tariffs, and related regulatory rules/laws
Ability to manage multiple projects and priorities under established timelines
Demonstrate and maintain a good safety record

140

Regulatory Analyst Resume Examples & Samples

Updates LQAS and CASH with monitoring requirements, administers day-to-day monitoring of borrowing bases and financial covenants
Sets up initial financial monitoring requirements in LQAS from the daily note list
Download and track financial documents from Arcs used in underwriting from the loan pipeline

141

Regulatory Analyst Resume Examples & Samples

A minimum of one year of directly related experience
Knowledge of relevant securities laws, rules and regulations enforced by FINRA. Knowledge of securities markets, member firm operations, books and records
Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications

142

Energy Efficiency & Demand Response Regulatory Analyst Resume Examples & Samples

Knowledge of the regulatory process
Knowledge of energy efficiency and demand response programs
Excellent communication

143

Public Utilities Regulatory Analyst Resume Examples & Samples

Ability to conduct and develop economic, financial, and/or statistical analyses, gather data and synthesize information in a cohesive manner; evaluate alternative proposals and recommend effective courses of action
Ability to complete assignments with accuracy, prioritize workload and meet deadlines
Ability to learn quickly, work independently and work cooperatively with others
Strong computer software skills related to Microsoft Word, PowerPoint Excel and/or other spreadsheets
Ability to make oral presentations, and to write persuasive and clear reports that explain technical information and analyses in a clear and concise manner
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst I (PURA I) online examination on a continuous basis. You may apply and take the PURA I exam on line at

144

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to conduct economic, financial and/or policy research and analysis, identify issues, and recommend effective courses of action
Demonstrated experience analyzing data and developing conclusions, including the use of spreadsheets and other quantitative tools for data analysis and graphical representation of results
Excellent oral and written communications skills, including the ability to keep management informed of work and proceeding status, to prepare testimony, and to write reports, memos, letters, and comments
Demonstrated ability to handle multiple assignments with accuracy, to prioritize and meet deadlines, and to work well in a team environment
Demonstrated ability to establish and maintain cooperative and positive working relationships with others, both inside and outside the agency
Experience or knowledge of the electricity industry
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst I (PURA I) online examination on a continuous basis. You may apply and take the PURA I exam online at

145

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to gather and analyze information and develop conclusions
Excellent oral and written communications skills, including preparing oral and written reports to a variety of audiences and making recommendations based on analytical findings
Demonstrated ability to handle multiple assignments, while successfully meeting deadlines
Demonstrated ability to develop and maintain positive working relationships with management and other staff, as well as effectively work with external stakeholders
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst I (PURA I) online examination on a continuous basis. You may apply and take the PURA I exam on line at: https://www.jobs.ca.gov/CalHrPublic/Exams/Bulletin.aspx?examCD=7PB10

146

Public Utilities Regulatory Analyst Resume Examples & Samples

Conduct economic, policy, and technical analyses. Prepare written and oral reports and briefings for Commissioners, administrative law judges, and management on a wide range of regulatory issues
Review and analyze utility proposals, technical models, and spreadsheets; present findings to managers and decision-makers
Review and analyze utility advice letters; draft resolutions and disposition letters
Facilitate workshops and/or stakeholder meetings, and participate in public hearings. Coordinate work product development with other stakeholders and state agencies as needed
Analyze pending legislation and make recommendations; assist in drafting annual legislative reports. Respond to inquiries from stakeholders, the public, and other agencies
Perform independent research to support rate design and distributed energy resources policy development, including new rulemakings, staff proposals, and rate forecasting projects
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst (PURA) online examination on a continuous basis. You may apply and take the PURA exam on line at

147

Public Utilities Regulatory Analyst Resume Examples & Samples

Understanding of micro economic theory and the functioning of markets
Knowledge of greenhouse gas emission reduction policies or programs and/or knowledge of combined heat and power procurement/technologies
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst (PURA) online examination on a continuous basis. You may apply and take the PURA exam online at

148

Public Utilities Regulatory Analyst Resume Examples & Samples

Conduct economic, policy, and technical analyses
Prepare high quality written and oral reports and briefings for Commissioners, Administrative Law Judges, and management on a wide range of complex regulatory issues
Review and analyze utility proposals, technical models, and spreadsheets; ability to present analysis findings to managers and decision-makers
Review and analyze utility advice letters; draft division resolutions and disposition letters
Perform quantitative analysis, including using spreadsheets, spreadsheet models, and databases and the ability to summarize and present statistical information and results in a clear and concise manner; and
Assist facilitation of workshops and/or stakeholder meetings, and participate in public hearings. Coordinate work product development with other stakeholders and state agencies as needed
Experience analyzing pending legislation and making recommendations; drafting legislative reports
Ability to respond to inquiries from stakeholders, the public, and other agencies
Experience with Renewable Portfolio Standard policies
Familiarity with California and Federal rules and policies governing renewables

149

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to analyze issues and identify potential impacts on specified groups
Experience with taking the results of analytical efforts and developing and presenting policy and program recommendations based on such analysis
Demonstrated ability to research and evaluate existing programs and/or processes and identify areas that need improvement/change
Demonstrated ability to reach out and develop working relationships with community and business leaders and elected officials
Good interpersonal skills to work with decision-makers and parties to resolve or minimize conflicts and establish common objectives
Experience with promoting and educating groups on regulatory policy
Foreign language fluency
The Department of Human Resources currently administers the Public Utilities Regulatory Analyst III (PURA III) online examination on a continuous basis. You may apply and take the PURA III Exam on line at

150

Public Utilities Regulatory Analyst Resume Examples & Samples

Demonstrated ability to work on multiple projects and able to meet deadlines
Demonstrated ability to identify trends and influences in regulation, technology, and economics, in various industries, and the ability to suggest appropriate regulatory responses, preparing reports, rulemakings, and briefings analyzing issues and presenting options for policy decisions
Knowledge and/or experience with the structure and operations of industries regulated by the CPUC, such telecommunications carriers, energy providers, water companies and transportation companies structures
Demonstrated ability to reach out and develop working relationships with other State and Federal agencies and elected officials
Familiarity with Public Utilities Code, Public Utilities Commission General Orders, and utility tariffs
The Department of Human Resources currently administers the Public Utilities Regulatory Anaylst V (PURA V) online examination on a continuous basis. You may apply and take the PURA V exam on line at: https://www.jobs.ca.gov/CalHrPublic/Exams/Bulletin.aspx?examCD=7PB16

151

Outreach Regulatory Analyst Resume Examples & Samples

Review and check for completeness of FATCA tax certification forms and supporting documentation before submitting the case for review and approval, co-ordinating with FATCA specialist as needed
Escalate to management on specific requirements and regulations arising under special circumstances
Respond to feedback provided and re-work cases as required, based on feedback from Quality Control
Customer service experience
Familiarity with Financial Regulations (especially FATCA) in an Investment Bank environment
Knowledge of customer entity types and business sectors
Process improvement and efficiency
Delivery against predefined productivity targets
Proficient in MS Word, Excel, PowerPoint, PDF, use of research applications and data

152

DP Ns-regulatory Analyst Resume Examples & Samples

Identify and assess potential changes in market arrangements, licences and industry codes
Develop internal briefing papers and build knowledge across the commercial teams
Develop company positions and prepare responses to industry consultations
Work with others across Drax Group to ensure a consistent approach to regulatory positions
Develop a network of peers and provide intelligence on the positions of others
Influence external debate via industry code and industry association workgroups
Identify new opportunities for change and help shape the future of the market
To be educated to degree level
To have strong analytical/numerical skills
To have good reporting and presentation skills
To have good communication and influencing skills

153

Regulatory Analyst Resume Examples & Samples

Performing competitive analyses
Cost allocation studies
Other technical analyses
2-5 years experience in state and/or federal regulatory and rate setting process, or equivalent financial or general quantitative experience. Demonstrated knowledge of financial concepts, GAAP practices, analytical techniques, and regulatory issues. Effective analytical, computer, problem assessment, and problem solving skills. Effective written, oral, and presentation skills. Strong Excel skills. Ability to evaluate and recommend courses of action, in response to inquiries

154

Regulatory Analyst, Capital Markets Resume Examples & Samples

Review and prepare the various legal agreements and documents necessary to execute capital markets transactions including equity and fixed income securities, derivatives, and bank loans
Review, negotiate, and prepare the various legal agreements and documents necessary to execute investment management agreements and related client onboarding documentation for separate accounts
Prepare amendments to add clients to existing derivatives master agreements; assist in tracking and organizing agreements
Provide guidance to investment, trade administration, and operations personnel on actions necessary to facilitate private equity, secondary offering, registered direct, and PIPE deals
Review equity and fixed income offering documentation to determine client suitability
Support the maintenance and creation of various fund offering documents within document production tools
Assist in supporting emerging market access products trading by providing guidance (in some cases during overseas office hours) to trading and investment personnel; and
Review and/or prepare materials related to requests for production for certain prospective clients
Qualifications for this position include a working knowledge of global capital markets, including Derivatives, and a solid understanding of the investment industry
Inquisitive mindset with an appropriate level of skepticism and curiosity
A positive attitude
Ability to function effectively in a high-energy team-oriented environment
Highly comfortable with data
Highly-organized and detail-oriented; demonstrated planning and organizational skills

155

Regulatory Analyst Resume Examples & Samples

3+ years of Regulatory and or environmental experience in Texas and New Mexico strongly preferred
A functional understanding of local, state and federal regulatory programs related to U.S. onshore oil and gas industry
Generally familiar with Texas Railroad Commission (TRRC) T-4 pipeline filings
Basic understanding of Clean Water Act provisions, Endangered Species Act, National Historic Preservation Act and the regulatory framework associated with the laws as they apply to oil and gas development activities
Experienced with ArcGIS functions including, but not limited to, data entry and manipulation, georeferencing tool, processing/analysis, editing, etc
General understanding of FEMA floodplain management and county-level floodplain/development permitting
Rudimentary understanding of the Salt Water Disposal permitting process
Knowledge of TRRC hydrostatic test water discharge permitting, water reclamation/recycling, land farming, etc
Must be able to effectively interface with a wide variety of people, both internal and external to the company, and communicate effectively through both written word and verbal delivery
Ability to manage one's time, set priorities and manage a heavy workload is required
Strong analytical and organizational skills are required
A willingness to lead, take initiative and increase technical and working knowledge
A working knowledge of the Microsoft Office suite (including Word, Excel, Outlook, Power Point, Access, etc.) is required
Assist in preparation of applications for regulatory/environmental permits and approvals needed for U.S. onshore midstream operations to ensure compliance with all relevant federal and state regulations
TRRC T-4 filings for new pipelines and annual submittal for existing pipelines
Filing of hydrostatic test water discharge permits
Permitting associated with water recycling and land farming
Keep business unit staff and managers updated on status of required permitting actions
Organize and maintain reporting tools to keep management and stakeholders regularly apprised of project status, milestones and potential challenges
Proactively seek to improve systems, data management processes and their functionality
Design and generate reports, presentations and correspondence as required

156

Regulatory Analyst Resume Examples & Samples

Develop and review regulatory filings with the SEC or other regulatory agencies/authorities. Promptly identify and elevate issues of concern for review. Ensure filings and other documentation are prepared in a timely and complete manner in accordance with departmental procedures. Review calendars and other resources to ensure same. Effectively employ job-specific technology in preparing filings and other disclosure-related materials. Negotiate with other internal and external parties to bring matters to fruition. Interact with other divisions within MFS and external business partners/vendors to finalize disclosure and to develop procedures to enhance the quality and flow of work. Offer suggestions to improve the drafting and review process
Gather data to determine documentation requirements, make assessments, and offer suggestions as to what is required to meet requirements and deadlines. Maintain active awareness of changes in MFS, its funds, its subsidiaries, and its clients in relation to the impact on regulatory requirements and documentation requirements. Work with outside counsel as necessary to review documentation and resolve issues related to disclosure filings
Maintain reference files and communications regarding documentation and filings. Maintain and update filing or other schedules, and provide updates to various departments at MFS that require this information on a regular basis
Participate in specialized projects that involve multiple concerns throughout MFS, its funds and its subsidiaries. Interact with others to achieve project goals and ensure timely and efficient production. Work closely with internal clients and external business partners/vendors to complete assigned projects accurately and on time. Analyze process with various departments at MFS, external business partners/vendors, and clients to seek process improvements. Negotiate and resolve issues with concerned parties. Interact with counterparties and vendors, evaluate products and services, resolve issues with same, etc
Keep abreast of rules and regulations affecting fund matters as well as other investment management issues

157

Remuneration Regulatory Analyst Fixed Term Contract Resume Examples & Samples

Provide support on Reward Governance and Regulation, ensuring that appropriate structures, policies and practices are in place across the Region
Working closely with country/cluster, regional and global partners to meet business needs, the role will be a focal point for championing best practices across both EMEA countries and across all Citi businesses
Keeping abreast of regional regulatory issues and evaluating Citi’s remuneration policies, practices and policies against a continuously evolving remuneration regulatory landscape in the UK, across the EU with an understanding of the US regulator’s requirements
This role aims to add significant value by contributing to the shaping of Citi’s remuneration policy, processes and practices to ensure compliance from a remuneration regulatory perspective in the UK and across the EU but also remain competitive
Evaluating Citi’s remuneration policies and practices against a continuously evolving remuneration regulatory landscape in the UK, and across EMEA with an understanding of the US regulator’s requirements
Keeping abreast of regional remuneration regulatory issues and keeping up to date with UK/EMEA remuneration regulatory issues
Key contact for Remuneration Committees, preparing papers, attending meetings, taking minutes
Key contributor to shaping and application of Citi’s remuneration policy, processes and practices from a UK/EU/EMEA perspective
Working closely with the wider Reward team and other internal stakeholders i.e. Risk & Compliance, Reward and Mobility, Legal, and in particular the NY Corporate Compensation Team
Delivery on annual targets set by HR and Reward & Mobility Management
Knowledge of UK and -European -remuneration regulations. Knowledge of US regulations a plus
Practical experience of management within a Compensation & Benefits function with regional and/or global responsibilities
Excellent analytical and numerical skills. Ability to effectively review internal / external advice and to make appropriate recommendations to senior management ensuring compliance with regulatory requirements whilst taking into account commercial considerations and internal consistency
First class client handling, stakeholder management and consultancy skills will be vital, given the interaction required with Country HR staff, senior management and multiple businesses across the EMEA region
Strong project management skills involving multiple stakeholders on a regional / global level
Excellent interpersonal, communication and diplomacy skills with the ability to work successfully both as part of a team and on own initiative as well as the ability to inspire confidence from others
Pro-active approach to work-load
Organisational Agility
Comfort Around Higher Management
Interpersonal Savvy
Peer Relationships

158

Regulatory Analyst Resume Examples & Samples

2 years or more of relevant experience required; oil and gas experience preferred
Strong public speaking skills with the ability to speak effectively in front of public officials and community groups
Knowledge of local government zoning and Land Use Regulations preferably in Colorado
Strong project management and negotiation skills
Highly organized and able to multitask
Knowledge of Colorado Oil and Gas Conservation Commission Rules and Regulations
Willingness to travel throughout the Denver Metro Area and Northern Colorado
Ability to manage one's time appropriately, set priorities and manage a heavy workload is required
A working knowledge of the Microsoft suite (including word, excel, outlook power point, etc.) is required
Assist in preparation of applications for regulatory permits and approvals needed for U.S. onshore drilling, completion, and production operations to ensure compliance with all related federal, state and local regulations
Keep business unit staff and managers updated on status of permitting actions associated with permits
Process Local Land Use Applications for Midstream and E&P
Process zoning amendments and various land use permits
Present Land Use Applications to Municipal Boards and County Commissions
Track and finalize Conditions of Approval
Represent Anadarko at various community events and hearings
Responsible for local government Oil & Gas regulatory policy analysis
Responsible for external stakeholder engagement (Local Officials and Staff, Chambers of Commerce, HOA’s, etc)

Download Regulatory Analyst Resume Sample as Image file

Related Job Titles

Regulatory Affairs Analyst Resume Sample

Investor Relations Analyst Resume Sample

Regulatory Risk Analyst Resume Sample

Regulatory Reporting Analyst Resume Sample

Regulatory Business Analyst Resume Sample

Regulatory Compliance Analyst Resume Sample

Regulatory Associate Resume Sample

Communication Analyst Resume Sample

Regulatory Consultant Resume Sample

Regulatory Office Resume Sample

Regulatory Director Resume Sample

Senior Analyst Regulatory Resume Sample

Browse More

Regulatory Analyst Resume Samples

The Guide To Resume Tailoring

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Resume Builder

15 Regulatory Analyst resume templates

Read our complete resume writing guides

How to Tailor Your Resume

How to Make a Resume

How to Mention Achievements

Work Experience in Resume

50+ Skills to Put on a Resume

How and Why Put Hobbies

Top 22 Fonts for Your Resume

50 Best Resume Tips

200+ Action Words to Use

Internship Resume

Killer Resume Summary

Write a Resume Objective

What to Put on a Resume

How Long Should a Resume Be

The Best Resume Format

How to List Education

CV vs. Resume: The Difference

Include Contact Information

Resume Format PDF vs Word

How to Write a Student Resume

O&t Is Program Manager Cyber Security Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Junior Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Client Reference Data Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Lead Regulatory Analyst Resume Examples & Samples

Compliance & Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

International Insurance Regulatory Analyst Resume Examples & Samples

Remuneration Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Compliance Regulatory Analyst Resume Examples & Samples

Assistant VP, ICG Regulatory Analyst Resume Examples & Samples

RIA Surveillance Regulatory Analyst Resume Examples & Samples

Operations Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Regulatory Affairs Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Senior Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Ferc Regulatory Analyst, Principal Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Life Sciences, Moscow Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Market Regulation Resume Examples & Samples

Regulatory Analyst, Options Regulation Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Regulatory Programs Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Lead Resume Examples & Samples

Regulatory Analyst, Senior Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst, Expert Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

Regulatory Analyst Resume Examples & Samples

How to Make
a Resume

50 Best
Resume Tips

200+ Action
Words to Use

Internship
Resume