Regulatory Attorney Resume Samples

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R Padberg

Reggie

Padberg

42741 Domenic Square

Phoenix

+1 (555) 659 9846

42741 Domenic Square

Phoenix

Phone

p +1 (555) 659 9846

Experience Experience

Boston, MA

Regulatory Attorney

Boston, MA

Klein-Turcotte

Boston, MA

Regulatory Attorney

Support life-cycle management of company products including compound development, clinical development, NDA submission, and commercialization
This role will also be responsible for assisting with the management of on-site examinations and sweeps
Conduct legal research and provide timely and accurate legal advice regarding state and federal insurance laws and regulations to internal clients
Prior management and oversight role of an insurance regulatory department or unit is a plus
Serve as legal representative on grants committee (IIS and CME), label review group, material review board, and managed access committee
Manage miscellaneous corporate transactional matters, including mergers and acquisitions, entity formation, due diligence, securities and financial matters
Provide counsel on import-related enforcement actions, including responses to FDA Notices of Detention, Import Alerts, and FDA/customs releases

Los Angeles, CA

Legal, Bank Regulatory Attorney, VP

Los Angeles, CA

Nitzsche-Ziemann

Los Angeles, CA

Legal, Bank Regulatory Attorney, VP

Instructing/working with/managing external counsel
Assisting with regulatory requests and examinations
Opportunity to work with subject matter expert lawyers regarding the structuring, negotiation and execution of complex transactions across capital structure
Advising on new regulations and internal implementation
Advising businesses and control functions on Bank Holdings Company Act matters, including
Reviewing transactional structures and authority determinations
Participating in firm and industry advocacy efforts

present

San Francisco, CA

Legal, Consumer Regulatory Attorney, VP

San Francisco, CA

Bogisich, Welch and Crona

present

San Francisco, CA

Legal, Consumer Regulatory Attorney, VP

present

Assist in the negotiation and management of key strategic partnerships
Assist in the design, development and execution of digital consumer financial products and services
Instruct/work with / managing external counsel and consultants
Provide general advice and counsel on a full range of consumer regulatory issues, with a particular focus on credit, data governance and servicing issues
Opportunity to work with subject matter expert lawyers regarding the structuring, negotiation and execution of complex transactions
Review of marketing materials and development of legal disclosures and product terms
Monitor developments in technology law and regulation with a focus on the intersection of technology and consumer finance

Education Education

Bachelor’s Degree

Hofstra University

Bachelor’s Degree

Skills Skills

Excellent interpersonal communications skills with a strong commitment to client service and the ability to work in a team environment
Strong maturity and ability to adapt style to suit audience
Expert knowledge of operations of business unit(s), products, policies and relation to industry
Strong leadership abilities and strategic management skills
Excellent verbal and written communication skills
Handle stressful situations, a diverse case load and provide a high level of customer service in a calm and professional manner
Advanced knowledge of FINRA rules and Securities Exchange Act of 1934
Knowledge of investment advisor and Bank Holding Company regulations
Manage, coach and mentor others
Maintains currency in securities regulatory law

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15 Regulatory Attorney resume templates

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Senior Regulatory Attorney Resume Examples & Samples

Plans, assigns, monitors, reviews, evaluates the work of support team in connection with assignments
Coaches and mentors others, including providing guidance and direction to the legal department
Attends to regulatory matters involving the organization and its subsidiaries, including SEC, FINRA, and state regulatory inquiries, investigations and enforcement actions and keeps management apprised of developments
Assists others in developing, preparing and presenting case theories and strategies
Maintains currency in securities regulatory law
Advanced concepts, principles and practices of corporate and regulatory law
Knowledge of investment advisor and Bank Holding Company regulations
Advanced investment concepts, practices and procedures used in the financial securities industry
Preparing and delivering written and oral presentations to all associates including senior management on legal and regulatory issues
Gather information, identify linkages and trends and apply findings to assignments
Handle stressful situations, a diverse case load and provide a high level of customer service in a calm and professional manner
Juris Doctorate with excellent academic credentials and a minimum of ten (10) years of progressive financial securities regulatory legal experience. SEC enforcement experience preferred
Experience in all levels of the judicial court system; or handling inquiries and investigation from authorities governing Self Regulating Organization (SRO) entities

Legal, Litigation Regulatory Attorney, VP Resume Examples & Samples

Assisting with all reporting functions, including preparing and updating periodic reports regarding litigation and regulatory matters for the Board of Directors and various internal constituents
Assisting with all litigation-related functions associated from the firm’s status as a public company
Liaising with Legal, Compliance and business colleagues in connection with various regulatory reporting requirements
Advising on litigation and regulatory matters
3-5 years of experience at a leading law firm or financial institution
Professional demeanor, team player, ability to interface effectively with internal/external parties

Regulatory Attorney for Banking & Finance Group Resume Examples & Samples

JD from an ABA accredited law school with excellent academic credentials
Big Law firm experience and job loyalty
On-point experience advising domestic and/or international banks, insurance companies, trusts, and funds

Healthcare Transactional & Regulatory Attorney Resume Examples & Samples

Research and analyze issues pertaining to relevant regulations
Conduct due diligence
Draft and negotiate transactions
Review contracts and applicable regulations
Experience advising on HIPAA, Anti-kickback, and Stark Law
Ability to advise clients on business and legal terms

Banking Regulatory Attorney Resume Examples & Samples

Juris Doctor Degree from top 50 law school
Three years' minimum experience in a large firm or in-house for a financial institution
Licensed in TN or eligible to sit for the Tennessee bar

Aml Compliance & Regulatory Attorney Resume Examples & Samples

Experience advising clients on AML, OFAC and economic sanctions, FCPA and UK Anti-Bribery laws and regulations
Experience providing practical advice to clients on assessing risk and building mitigation programs
Experience advising clients on ERM and operational risk management programs
Familiarity with money transmission regulation
Excellent interpersonal skills, including the ability to interact well and build excellent working relationships with all levels of management
The candidate must have a high level of self-motivation, initiative and ability to operate effectively as a team player across different business units
Prefer industry certifications such as CAMS

Bank Regulatory Attorney Resume Examples & Samples

3-6 years of relevant experience in the bank regulatory practice of a major law firm, a major financial institution or federal banking agency
Prior experience in U.S. bank regulatory law, including (but not limited to) the Bank Holding Company Act, the Federal Reserve Act and the Dodd-Frank Act, and regulations issued by the federal banking agencies
Knowledge of Volcker Rule

Legal, Bank Regulatory Attorney, VP Resume Examples & Samples

Expectation is the attorney cover a full range of regulatory issues, with a particular need for regulatory lawyers with strong knowledge of bank capital rules and bank funding products
Assist senior leadership of the legal department and Goldman Sachs in developing, documenting and implementing processes and policies to effect compliance with evolving legal and regulatory environment
Coordinate with others in dealing with and responding to various regulatory questions
Strong knowledge of Bank Holding Company and Financial Holding Company Act and regulations
Knowledge of international banking structure issues, as well as knowledge of derivatives and institutional securities businesses

Healthcare Regulatory Attorney Resume Examples & Samples

Experience with health law or regulatory work
A focus on regulatory compliance matters and healthcare policies
Experience representing doctor practice groups, surgery centers, pharmacy companies, etc

Amazing Opportunity For Insurance Regulatory Attorney to Join Corporate Legal Department Resume Examples & Samples

At least 5 years of legal practice in private and/or corporate in-house
Deep knowledge insurance regulations and industry, preferably property insurance
Transactional experience drafting corporate documents, insurance documents, and with general corporate maintenance
Litigation experience with claims-related matters
Ability to work on multiple issues
Dedicated team member

Senior Healthcare Regulatory Attorney Resume Examples & Samples

At least six (6) years of experience as a practicing attorney on transactional and regulatory healthcare matters
In-depth experience with HIPAA, Stark Law, federal and state health law compliance, etc
Top education credentials

Legal, Consumer Regulatory Attorney, VP Resume Examples & Samples

Provide general advice and counsel on a full range of consumer regulatory issues, with a particular focus on credit, data governance and servicing issues
Assist senior leadership of the legal department and Goldman Sachs in developing, documenting and implementing processes and policies to effect compliance with evolving legal and regulatory environment including working with clients in the development and execution of credit, data governance and servicing policies and procedures
Strong knowledge of consumer finance laws and regulations including, but not limited to, the Truth in Lending Act, Equal Credit Opportunity Act, Fair Credit Reporting Act, Fair Debt Collection Practices Act, Electronic Funds Transfer Act and state and federal Privacy laws and regulations
5+ years’ post qualification experience required in a leading law firm or financial institution

Regulatory Attorney Resume Examples & Samples

Conducting investigations and reviews in order to identify relevant information
Managing analysts and compliance personnel in connection with individual inquiries
Handling multiple inquiries simultaneously
This role will also be responsible for assisting with the management of on-site examinations and sweeps
Manage time wisely and resourceful in following up on matters
Ability to identify and escalate issues of potential regulatory risk

Healthcare Regulatory Attorney Resume Examples & Samples

Research and analyze issues pertaining to health care regulations, including Medicare billing and reimbursement issues, professional and facility licensure, HIPAA compliance and breach response, Stark and anti-kickback compliance, and applicable state healthcare laws and regulations
Review contracts and address issues involving health care regulations
Minimum of two years’ experience
Managed care experience and experience with Medicare/Medicaid audits a plus
Ability to advise clients on business and legal terms of health care industry contracts

Senior Regulatory Attorney Resume Examples & Samples

Law degree from an accredited law school with strong academic credentials
15 or more years of experience working in the financial services industry with a primary bank regulatory focus/expertise and recent practical experience with Dodd Frank related rulemaking
Five or more years of management experience
Expert knowledge of operations of business unit(s), products, policies and relation to industry
Strong leadership abilities and strategic management skills
Excellent interpersonal communications skills with a strong commitment to client service and the ability to work in a team environment
Strong maturity and ability to adapt style to suit audience

Bank Regulatory Attorney, VP Resume Examples & Samples

7 years law firm / in house experience in banking regulation
Experience in regulations related to bank holding companies/intermediate holding companies (bank regulatory capital requirements under FRB guidelines and Basel Accords, enhanced prudential standards under Dodd-Frank and Volcker Rule requirements)
Law degree (J.D.)
Ability to communicate effectively with line bankers as well as senior management to explain legal/regulatory risks in detail
Ability to work independently and unassisted
Excellent organizational skills and ability to accommodate expedited deadlines
Eligible to work in the U.S

Regulatory Attorney Resume Examples & Samples

Support life-cycle management of company products including compound development, clinical development, NDA submission, and commercialization
Advise on compliance with post-market regulations, including adverse event reporting and pharmacovigilance, recalls, and good manufacturing practices
Provide regulatory support for transactions, including conducting regulatory due diligence, negotiating key regulatory terms and supporting post-transaction integration activities
Draft comments on proposed laws and regulations, FDA guidance documents, and industry group policy positions
Serve as legal representative on grants committee (IIS and CME), label review group, material review board, and managed access committee
Provide regulatory support to brand attorneys on advertising and promotion issues
Keep abreast of regulatory developments affecting clients anticipate potential obstacles in obtaining desired regulatory outcomes and generate revised strategies to solve issues (e.g., cell and gene therapies, clinical trial reporting, mobile medical applications, track and trace)
Provide solutions-oriented advice for obtaining FDA approval, including advising on the preparation and filing of regulatory documentation with FDA, formal meetings with FDA, advisory committee meetings, label negotiations, complete response letters, dispute resolution proceedings, user fees, the 505(b)(2) pathway, the fixed dose combination drug rule, and special protocol assessments
Advise on issues specific to expedited FDA programs for serious conditions, such as accelerated approval, fast track designation, breakthrough designation, priority review
Provide strategic advice relating Hatch-Waxman, pediatric, and orphan exclusivity
Advise on issues pertaining to FDA establishment registration and product listing
Provide counsel on import-related enforcement actions, including responses to FDA Notices of Detention, Import Alerts, and FDA/customs releases
Oversee the negotiation of confidentiality agreements, informed consent forms, agreements with contract research organizations, collaboration agreements, clinical trial agreements, and other agreements related to clinical trials with sophisticated counterparties such as such as hospitals, teaching institutions, universities, contract research organizations, and other clinical vendors
Advise clients on issues concerning good clinical practices (GCP), IND safety reporting, clinical holds, IRB relations, HIPAA, clinical investigator disqualification proceedings, investigator-initiated research (IIR), pharmacovigilance
Assist Quality organization in preparing for audits and inspections by regulatory authorities, responding to FDA Form 483s and warning letters, developing remediation work plans, and conducting market withdrawal/recall/field action analyses
As the legal representative on the material review board (MRB), assess risks posed by critical process changes and product nonconformances and deviations
10+ years of experience advising on laws, regulations and industry standards applicable to the pharmaceutical or biotechnology industry and relating to research and clinical development, regulatory approval, commercialization, manufacture, complaint handling, pharmacovigiliance, and recalls
Ability to work independently with minimal supervision
Ability to analyze issues, discuss options, and recommend courses of action arising from activities governed by
O o Good Clinical Practices (GCP)

Regulatory Attorney Resume Examples & Samples

Candidate must be a member of the California or New York State Bar or otherwise qualified to practice law in jurisdiction where based as in-house counsel
Minimum 10 years of experience either as in-house counsel with a financial institution, or experience with a law firm providing advice to financial institutions
Experience with the development and roll-out of new financial products, including wholesale and retail
Ability to analyze and research complex legal issues and translate such research and analysis into practical and effective advice to firm officers, including executives and senior management
Strong written and verbal communication and interpersonal skills, including negotiation skills
Excellent organizational and time management skills and attention to detail
Flexibility and adaptability to changing priorities and deadlines

Financial Services Regulatory Attorney Resume Examples & Samples

Research and analyze issues pertaining to financial services regulations and compliance
Advise banks and other financial institutions that seek guidance as to how business initiatives can be implemented most effectively in US markets, in full compliance with US law
Advise on the restructuring and disposition of bank assets; the organization of bank units and subsidiaries; and acquisitions, investments, strategic alliances and joint ventures
1-4 years of experience at a law firm or banking agency a plus
Experience in financial services regulatory compliance, licensing, or enforcement

Legal Assistant General Counsel Regulatory Attorney for the Corporate & Investment Bank VP Resume Examples & Samples

Working with CIB Business and Legal on the Firm’s Resolution Plan (“living will”), required under Section 165(d) of the Dodd-Frank Act
Supporting CIB Legal’s representative for the Firm’s New Business Initiatives Approval program
Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction
Ability to work independently, manage complex projects and multitask successfully in a fast-paced and complex business environment
Strong team player, with the ability to work in turn with a diverse range of lawyers (geography, practice, etc.), businesses and functions (Compliance, etc.)

Consumer Finance Regulatory Attorney Resume Examples & Samples

FTC Credit Practices and Holder Rule
Odometer disclosure requirements
Electronic Signatures in Global and National Commerce Act (ESIGN)
NACHA Operating Rules and Guidelines
State certificate of title laws
Offers creative solutions to sensitive issues using multi-disciplined approach. Effectively manages sensitive and complex issues that impact Ally. Works in a collegial manner with other Legal Staff colleagues, accepts direction from Legal Staff leadership, and demonstrates effectiveness and clarity in conveying legal advice
Membership in good standing in Michigan bar, or appropriately licensed in other jurisdiction
5 + years progressive experience in one or more of the areas noted above
Heightened familiarity with consumer finance disclosure/protection legal requirements and issues
Demonstrated experience developing creative solutions to address legal challenges

Legal, Bank Regulatory Attorney, VP Resume Examples & Samples

Advising businesses and control functions on Bank Holdings Company Act matters, including
Reviewing transactional structures and authority determinations
Capital and liquidity requirements
Regulation K considerations
Advising on new regulations and internal implementation
Participating in firm and industry advocacy efforts
Instructing/working with/managing external counsel
Assisting with regulatory requests and examinations
8+ years post qualification experience required in a leading law firm or financial institution
Extensive knowledge of the Bank Holding Company Act, Dodd-Frank and Regulations K, Y, QQ, VV, WW, YY
Broader knowledge of CFTC and SEC rules are a plus
Corporate transactional experience is a plus

Bank Trust Risk-regulatory Attorney Resume Examples & Samples

Interpret and assess the requirements of laws and regulations as they apply to, and are implemented by, the Trust businesses
Assist bank management in the creation and implementation of processes and procedures designed to address legal, regulatory and risk matters
Draft client-facing documents, such as disclosures, consistent with laws and regulations
Lead or participate in risk-related review projects
Partner with outside counsel engaged to advise the bank on matters assigned to the position
Proactively monitor relevant litigation and regulatory rulemaking and enforcement, assess applicability to Trust businesses and communicate results
Work with internal and industry groups to assess and comment on proposed regulations and legislation
A minimum of 10 years of current legal experience in the area(s) of trusts and estates, employee benefits and/or indenture trusts
Three or more years management experience
Strong regulatory background and experience advising a financial institution
Ability to communicate complex concepts to an audience which includes non-legal personnel

Environmental Regulatory Attorney Resume Examples & Samples

Collaborate with partners and clients in all aspects of energy and environmental law
Counsel clients regarding compliance with federal, state and local laws and regulations
Investigate and advise clients on the environmental implications of financing, corporate and real estate transactions

Senior Client Regulatory Attorney Resume Examples & Samples

You were exposed to Master Agreement documentation via law firm or bank
You hold 3-7 years of relevant experience. JD Preferred
Project finance is a plus
You display eagerness, ‘can-do’ attitude towards their work
You have excellent interpersonal, oral and communication and organizational skills to work quickly and efficiently to achieve results

Banking Regulatory Attorney Resume Examples & Samples

Employment at a law firm, in-house law department, and/or bank regulatory agency
Analysis of a broad range of safety-and-soundness and consumer-focused banking regulations
Provision of legal advice to retail banking institutions
Close collaboration with attorneys in different practice areas, as well as with other control partners (compliance, risk, and audit)

Legal, Consumer Regulatory Attorney, VP Resume Examples & Samples

Assist in the design, development and execution of digital consumer financial products and services
Assist in the negotiation and management of key strategic partnerships
Review of marketing materials and development of legal disclosures and product terms
Develop and review strategies for addressing risks relating third party system and data integration
Monitor developments in technology law and regulation with a focus on the intersection of technology and consumer finance
Knowledge of and experience with federal, state and local laws and regulations relating to technology and consumer finance including relating to Unfair, Deceptive and Abusive Acts or Practices
Experience negotiating complex strategic partnership agreements
Experience reviewing marketing materials and developing disclosures
7+ years’ post JD experience required in a leading law firm or financial institution

Bank Regulatory Attorney Resume Examples & Samples

Experience or working knowledge of securities laws and regulations, including the Investment Adviser Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934
U.S. bank regulatory, securities or corporate background
Strong commitment to client service, and

Regulatory Attorney Consumer Lending Servicing & Default Resume Examples & Samples

Advising the line of business on applicable federal and state laws concerning servicing, loss mitigation and default, and collections (including, but not limited to, matters concerning RESPA, TILA, ECOA, UDAAP, and consumer protection laws)
Analyzing, interpreting, reviewing, and drafting internal policies and procedures regarding servicing, loss mitigation and default, and collections
Analyzing new and emerging areas of risks as they relate to the servicing and loss mitigation of consumer loans, with an emphasis on real estate secured loans
Drafting and preparing memoranda, white papers, and other internal analyses respecting the application of applicable law to business processes
Evaluating and counseling the business and other risk partners on changes to applicable law and regulatory expectations
Partnering with the line of business and other risk functions to mitigate regulatory and reputational risk; and
Performing other legal duties as may be required
A JD with state bar admission
Minimum 7 years legal department, law firm, and/or similar in-house or government regulatory experience, preferably including financial services
Ability to manage large volumes of work, including complex legal issues that may arise without warning
Capacity to work collaboratively in a fast-paced, fluid environment with limited supervision
Ability to counsel business partners, effectively identifying risks and mitigation options
Willingness to work on a team, interacting across different functions and job levels

Regulatory Attorney Resume Examples & Samples

Manage and oversee a team of lawyers, paralegals within the legal regulatory and compliance department including rate and filing department
Oversight of the preparation of regulatory filings, licensing and reporting requirements
Provide thoughtful leadership on regulatory and industry development, including the proactive identification and assessment of regulatory risks and the ongoing monitoring and tracking of relevant regulatory proposals
Partner and interact with domestic state regulators and government agencies
Manage the department’s handling of regulatory matters, including information requests, auditors and/or investigations
Provide legal advice and counsel to ensure compliance with regulations throughout the contract review process (from structuring of the relationship through execution and implementation)
Provide advice on issues relating to insurance producers and third-party administrators, including compliance with statutory requirements and best practices for outsourced insurer responsibilities
Conduct legal research and provide timely and accurate legal advice regarding state and federal insurance laws and regulations to internal clients
Assist in monitoring department of insurance actions (e.g., penalties, fines, bulletins, and department of insurance advisories) and apprise the appropriate internal business and support departments to ensure compliance
Provide guidance regarding policy form and rate filing requirements
Manage miscellaneous corporate transactional matters, including mergers and acquisitions, entity formation, due diligence, securities and financial matters
Handle other corporate and/or contractual matters as needed
Must be admitted to and a member in good standing of the bar of any US jurisdiction
Minimum of 10 years of legal and management experience, preferably corporate/law firm or in-house counsel
Demonstrated understanding of the insurance regulatory environment
Experience interfacing effectively with all levels of management and with both internal and external constituents. Strong written and oral communication skills with the ability to communicate at all levels of the organization
Experience drafting commercial agreements is preferred
Highly organized, analytical, and detail-oriented
Common sense, good judgment, inquisitive and solution-oriented attitude toward legal issues
Must be entrepreneurial in presenting sound business solutions to complex legal issues
Prior management and oversight role of an insurance regulatory department or unit is a plus

Regulatory Attorney Resume Examples & Samples

A law degree from an accredited law school with high academic achievement required
Licensed to practice law in Michigan
Minimum of 5 years’ experience in a related field of expertise
This is an intermediate level position intended for an experienced attorney with 5 to 8 years litigation and/or administrative hearings work experience. Utility and/or regulatory background is preferred. This position will involve representing client interests in a variety of legal matters relating to the utility industry, including representing our interests in litigation before the state public utility commission and related appeals, drafting of legal documents, legal analysis, and advising our client on regulatory and rate-related issues. State or federal appellate experience preferred. The candidate should possess a strong work ethic and have experience related to drafting of briefs and motions. Strong analytical, writing, and communication skills are important. This position may also involve other assignments falling within the Regulatory Practice Section of the Legal Department. You will be challenged to assume independent and primary responsibilities for assigned matters within a short timeframe

Regulatory Attorney Resume Examples & Samples

Interface with US and Canadian Regulatory Agencies on regulatory matters
Engage with Outside Counsel on regulatory matters
Develop Compliance Programs relating to relevant regulatory agencies, including developing appropriate policies and procedures, audits and training
Manage all regulatory issues
Keep the organization advised of new and prospective changes in US and Canadian regulations that affect Lutron and its business
Stay aligned to Lutron’s culture and values
Be passionate

EH&S Regulatory Attorney Resume Examples & Samples

A Juris Doctorate degree from a tier one or two accredited law school
At least five to eight years of relevant work experience
The applicant must be a member in good standing of the state bar association of Michigan or another state (with the ability to become a member of the Michigan Bar by reciprocity or by passing the Michigan Bar examination)

State Regulatory Attorney Resume Examples & Samples

Provide legal assessments, interpretations, recommendations, and representation on a wide range of legal issues involving state, federal, county, and municipal statutes, regulations and other legal authority, as well as corporate policies
Represent the company in judicial, regulatory or administrative proceedings in federal, state or local forums
Draft and revise all forms of legal documents including contracts, pleadings, data requests, data request responses, testimony, regulatory documents, reports, and presentations
Provide counsel and legal advice on the interpretation of statutes, regulations, legal opinions, and corporate policies
Develop and present recommendations to senior management within the organizational unit and the company regarding courses of action to ensure compliance with applicable legal authority and minimize legal risks
Oversee, select, and direct outside legal counsel as appropriate
Recommend application of corporate policies and legal controls to protect the company’s interests and objectives
Deliver high-quality work product on a timely basis to the company’s business units

Bank Regulatory Attorney Resume Examples & Samples

Juris Doctor from an accredited law school with strong academic credentials
Licensed to practice law and in good standing in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction
A minimum of 8 to 10 years of legal experience at a law firm, in-house legal department of a financial institution, bank regulatory agency or self-regulatory organization

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