Regulatory Change Resume Samples

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S Shields

Soledad

Shields

1803 Goldner Place

Dallas

+1 (555) 775 8229

1803 Goldner Place

Dallas

Phone

p +1 (555) 775 8229

Experience Experience

San Francisco, CA

Regulatory Change Analyst

San Francisco, CA

Koss LLC

San Francisco, CA

Regulatory Change Analyst

Working with impacted risk functions to drive forward the regulatory change agenda
Supporting the RTB processing team in terms of analytical and technical support, service management, process implementation, transition and change management
Analysing complex data sets to identify affected or in-scope populations for new Regulations
Applying Legal guidance to data-sets to identify populations for further review
Preparing concise project status updates and materials for a senior audience
Coordinating the bank’s responses to new regulatory proposals that impact Risk and contributing to industry responses
Business analysis and problem solving

Houston, TX

Regulatory Change Manager

Houston, TX

Buckridge-Bauch

Houston, TX

Regulatory Change Manager

Provide objective feedback and input into formal Performance Development Reviews and Annual Reviews of all direct project reports, whether these are assigned from the Change Resource Pool, or from the business line or other functions
Decide on strategic options and assessments work to develop responses and options to respond to regulatory change
Planning and running Monthly Business Review sessions for the function with control on all the Key Performance Indicators and progress against those base-lined at the beginning of the year
Running business level Regulatory Forums used as a first point of escalation of all regulatory issues to the business heads – facilitating, leading, managing the meeting and ensuring actions agreed from these meetings are followed-up and closed
Contribute to the development of business analysis, change management tools, techniques, standards and methodologies to improve their efficiency and effectiveness
Work across the PCB Regulatory Management Change agenda
Knowledge/formal training in business analysis and change management techniques

present

Dallas, TX

Regulatory Control Lead-divisional Control Office Regulatory Change

Dallas, TX

Kunze Inc

present

Dallas, TX

Regulatory Control Lead-divisional Control Office Regulatory Change

present

Identifying and managing communication with all key Stakeholders, clearly articulating roles and responsibilities to ensure successful implementation
Contributing to the development of a high performing Global Regulatory Change, by sharing lessons learned and best practices
Setting up and managing effective programme governance, including a steering committee to be chaired by a Wealth Management ExCo member and regional/topical working groups
Determining solutions that are best delivered consistently across Wealth Management and establishing a structure to facilitate this
Acting as a role model for new employees, providing help and support to facilitate early integration and assimilation into their new environment
Designing a programme structure and approach, including key roles and responsibilities, governance, work streams and milestones
Demonstrating added value and actively promoting the Global Regulatory Change brand to develop relationships and improve brand awareness

Education Education

Bachelor’s Degree in Knowledge

Colorado State University

Bachelor’s Degree in Knowledge

Skills Skills

Attention to detail. Should be capable of drilling down to project issues (technical and business) and guiding the team to resolve them
Ability to anticipate issues and aggressively drive initiatives to achieve results
Strong communication (verbal and written) and presentation skills
Strong negotiation and co-ordination skills to work in partnership with the business users, business analysts and other technology teams
Good Microsoft Office skills – Excel, Word, Visio and PowerPoint
Proven ability to collaborate with partners across multiple disciplines and functions
Understanding of OTC Derivative products (Credit, Rates, FX, Equities and Commodities)
Provide program manager support by convening and chairing targeted meetings and committees
Ensure the current regulatory reporting controls are adequate for any new processes
Communicate risks and issues with senior project managers

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Regulatory Change Management Team for the International Private Bank Resume Examples & Samples

Working on global agenda for regulatory change management in Asia pertaining to the OTC Derivatives space as mandated by HKMA and MAS and impact that Dodd Frank, European Markets Infrastructure Regulation (EMIR), Retail Distribution Review, Markets in Financial Instruments Directive (MIFID II) have on PB Asia’s business
Setting-up and driving cross functional project team to design and implement solutions for the Private Bank in Asia
Multiple work streams associated with various deliveries
Working with Legal and Compliance partners to interpret and understand impacts of changing derivative regulatory landscape
Working with business leaders to articulate how this changing regulatory landscape will impact Private bank business model
Working with team head in making recommendations to senior management as to specific strategy to address impact of regulations
Liaising and engaging partners in other parts of the firm (Investment Banking etc.) to leverage firm wide capabilities

VP-product & Platform Project Management Team-regulatory Change Focus Resume Examples & Samples

End to End Project management and delivering of key tactical and strategic regulatory initiatives across the Investment business - specifically Dodd Frank/Volcker, European Markets Infrastructure Regulation (EMIR), Markets in Financial Instruments Directive (MIFID II/MFiR), and the Financial Markets Infrastructure Act (FMIA)
Working with Legal and Compliance partners to interpret and understand impacts of changing derivative regulatory landscape
Working across EMEA platform, business leaders, and subject matter experts to analyze business impact, identify how this changing regulatory landscape will change the Private bank business model and define options to achieve compliance
Making recommendations and influence senior management as to specific strategy and solutions to address impact of regulations
Creating and implementation of detailed operating model changes across over the counter derivatives, exchange traded derivatives, and foreign exchange products across multiple jurisdictions and client types
Preparing and delivering updates for working group, stakeholders, and senior management
Liaising and engaging partners in other parts of the firm (Investment Banking, Investment Management, and global counterparts in US and Asia, etc.) to leverage firm wide capabilities
Set-up and drive cross functional project team to design and implement solutions and control framework across International Private Bank
Strong stakeholder management to ensure transparency of expectations, efficient and effective management of stakeholder resources, and delivery of solutions on time at all levels from process participants, control functions, and senior management
Effectively communicate key messages, and simplify complex business situations for decision making and for front office training and client communications
Proven project management capability and/or previous experience of working directly with products (sales / trading / product development, etc.) and/or audit
Experience of Investments and Private Banking backgroundwould beadvantageous
Demonstratedunderstanding of derivative & non-derivative products with a solid appreciation of product lifecycle from front office registration requirements to trade execution and settlement
Strong understanding of theregulatory landscapeacross Europe. Candidates with experience working on Regulatory initiatives and/or Projects are particularly sought
Demonstrated ability and confidence to both develop and recommend solutions to stakeholders as well as influence them to transform the current state within milestones pre-set
Enthusiastic, proactive, accountable, and strong work ethic
Highly detail oriented
Organized and comprehensive project management approach
Enjoy working in a fast-paced and demanding environment
Deliver on time, within scope and within budget
Advancedinterpersonal skills (both written and verbal)and ability to work with people at all levels across all functions and establish trust from stakeholders and sponsors around decision making and execution capabilities

Business Analyst Regulatory Change Resume Examples & Samples

Perform detailed business and data analysis, process redesign, and project planning
Identify key project risks, whether stated or not, and manage to resolution or escalate accordingly
Develop individual project artefacts as necessary, including Business Requirements documents (BRDs), Functional Requirements documents (FRDs), UAT planning and execution Support the implementation/roll-out of a FATCA, specifically for the Asia Pacific region
Work with the global team including Operations, Technology, Consulting Firms, Controls and Middle Office to ensure successful program planning and approach decisions, execution of the project and delivery into production
Bachelors with relevant and demonstrable experience working in a business analyst role, preferably within a dedicated change function
Knowledge and working experience of Capital Markets products and industry preferred
Experience in Capital Markets Regulatory or Tax Projects highly desired
Experience in Client Onboarding, KYC, Accounts Control or Reference Data Projects highly desired
Past experience working on multi-region projects desirable
Ability to organize multiple parallel tasks/streams; work with minimal guidance
Strong interpersonal skills and ability to work with multiple functions (Front Office, Middle Office, Operations, Compliance, Technology, Corporate Tax and Finance) to ensure communication, collaboration and agreement
Ability to learn/understand some technical implications of system design

Senior Business Analyst Regulatory Change Resume Examples & Samples

Develop individual project artefacts as necessary, including Project Initiation Documents (PIDs), Business Requirements Documents (BRDs), Functional Requirements documents (FRDs), UAT planning and execution
Support the implementation of all FATCA work streams, specifically for the EMEA region
Work with the global team including Operations, Technology, Legal, Compliance, Middle Office and external Consulting Firms to ensure successful project planning decisions, execution of the project and delivery into production
Bachelors with significant relevant and demonstrable experience working in a BA role, preferably within a dedicated change function
Knowledge and working experience of Capital Markets products and industry knowledge essential
Experience in Capital Markets Regulatory, Tax or Client Onboarding projects highly desired
Trade processing knowledge of Derivatives, Equities and Fixed Income products preferred
Past experience working on multi-region projects where stakeholders are located across countries and time zones
Knowledge of FATCA a definite bonus
Excellent business analysis and problem solving skills essential
Robust Project Management skills: ability to organize multiple parallel tasks/streams; work with minimal guidance
Positive and proactive attitude - ability to take ownership of task delivery and drive through to completion
Ability to work with minimal guidance – competent self-starter
Consensus building and strong communications skills a must
Ability to quickly grasp and master new concepts / requirements and related product / functional knowledge
Professional Project Management accreditation highly preferred (e.g. PMI) Strong Excel, PowerPoint, Visio and MS Word knowledge; previous experience with MS Access desirable

Senior Manager RC Regulatory Change Implementation Resume Examples & Samples

Preference of 10 years proven compliance and/or regulatory experience Bachelor’s degree
Strong written, verbal communication, and presentation skills
Strong analytical skills and organizational skills
Proactive and independent

Volcker & Regulatory Change Compliance Officer Resume Examples & Samples

Leading the Independent Testing & Audit Workstream in developing a testing program that will verify the Firm’s compliance with Volcker rule requirements
Developing policies & procedures governing the independent testing process
Agreeing approach to periodic reviews of the Compliance program
Creating and maintaining project plans specific to Workstream activities
Reviewing and commenting on documentation developed by outside counsel
Maintaining agenda, issues log, meeting materials and meeting minutes for the Workstream
Participating in working group meetings to provide updates on Workstream progress

Regulatory Change Project Manager Resume Examples & Samples

Three to five years of experience in an applicable risk management environment
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Thorough understanding of the business line’s operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk/Compliance/Audit competencies
Strong process facilitation, project management, and analytical skills
Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs

Regulatory Change Compliance Manager Resume Examples & Samples

Provides direction to business line and compliance managers related to regulatory changes, including specific change management disciplines related to readiness for regulatory changes
Maintains high level of compliance awareness and knowledge to effectively support area of responsibility
Provides leadership in the development and maintenance of compliance programs with appropriate internal controls, policies, procedures, communication vehicles and monitoring
Identifies compliance problems through compliance testing, analysis of audit reports, staff meetings and on-going interaction with other compliance officers
Participates in the review and interpretation of new and pending laws and regulations that potentially affect business practices for a business unit or geographical region
Participates in product and services development, changes and implementation to ensure compliance with appropriate laws and regulations
Participates in the development and implementation of necessary training programs to ensure and improve compliance and to make sure the training addresses issues discovered by regulation changes, monitoring or audit review
Monitors and follows-up on outstanding compliance issues and ensures timely resolution
Provides management with periodic assessments of the level of compliance
Ensures that compliance files are maintained, documenting compliance activities and maintaining appropriate reporting in support of the compliance processes
May coordinate examinations by internal/external auditors and by regulatory examiners
May act as a liaison between the business unit and the various regulatory agencies
Eight to ten years of experience in project management and leadership activities
Strong knowledge of Federal, State and local laws and regulations
Considerable knowledge of assigned business line or functional area

VP Regulatory Change Manager Resume Examples & Samples

Be responsibile for the delivery of one or more Regulatory Change Projects within the Personal & Corporate Banking (PCB) Regulatory Management portfolio
Work across the PCB Regulatory Management Change agenda
Operate in accordance with the requirements of the Group Change Governance Framework and mandated Change Methods and Tools
Deliver in accordance with PCB Regulatory Management methodology
Ensure the Programmes/Project for which they are accountable are aligned to, and deliver against, the objectives and strategy

Regulatory Change Consultant Resume Examples & Samples

Experience in implementing large-scale change, either as a consultant or in-house change resource
Excellent academic credentials
Project Methodology Qualification

Gwm Global Head of Regulatory Change Management Resume Examples & Samples

Defining the scope and structure of the Global Regulatory Change Management program
Evaluating new and emerging industry and regulatory developments in conjunction with our Legal and Compliance teams from a business perspective to assess the impact on the existing business and operating model and product range including industry, regulatory, tax business and competitive changes in relevant markets
Conducting the initial feasibility analysis including the identification of roadblocks, budget estimate, infrastructure analysis, cross-business impact and resource assessment
Assessing the competitive landscape to ensure Global Wealth Management remains competitive when implementing industry or regulatory changes
Implementing the delivery of any significant industry or regulatory changes across all functions of Global Wealth Management, including the identification of inter-dependencies across the individual initiatives
Ensuring that an effective governance program exists to ensure that priorities are appropriately sequenced resourced and decisions are subject to appropriate management validation
Ensuring that regulatory related client communications are appropriately sequenced and managed
Develop and initially deliver the training outlining the impact of regulatory change to affected teams and business lines
12+ years of experience in financial services or regulatory change management
Significant project and change management experience with a proven track record of delivering complex product and/or new business initiatives across a range of functions and regions
Credibility and proven ability to engage with senior business heads to discuss implications of new regulatory requirements from a business perspective
Conversant with the broad US, EU and Asian regulatory regimes and knowledge of local regulatory regimes
A broad understanding of securities, alternatives, derivatives and structured products, portfolio management techniques, investment processes, and investment management disciplines
Ability to develop effective partnerships with key business partners, including the various Product and Asset Class owners, Business Management teams, Finance, Legal, Compliance, Technology, Tax, Risk and various operations groups globally
Proven people management skills, able to hire, retain and growth a diverse set of people, across multiple global locations and with different skillset (project management, SME, product, legal)

VP-program Manager for Regulatory Change Resume Examples & Samples

8+ years project management and business analysis experience
Financial Services industry experience (preferably 5+ years)
Experience in Regulatory project implementation preferred
Experience in the full delivery lifecycle for technology-driven projects
Proven ability to successfully deliver large-scale projects from inception to implementation
Strong analytic and problem solving/process improvement skills; ability to learn quickly and solve poorly defined problems

Private Bank Product & Platform Project Management Team Regulatory Change Focus Resume Examples & Samples

Acting as an internal consultant in partnership with senior management and working with a range of functions across the Private Bank to implement a core regulatory programme globally across wealth management with a focus on Asia. This will include
Maintaining scope and enhancing structure of the programme
Managing the project and all activities across all impacted functions
Developing end-to-end operating model that works toward regional and global consistency
Managing the interface with the control functions, the business and technology
Partnering with other key programmes to ensure streamlined operating model and efficient end user experience
Responsible for the status reporting regionally
Act as business representative for the front office teams coordinating across the wider support functions to implement business solutions
Develop and support project plans though strategy development, project definition, and
Minimum 5 years of relevant project and change management experience in Private Banking, Asset Management or Investment Banking industry
A proven track record of managing and delivering complex product, project and/or new business initiatives across a range of functions and regions. An ability to instill structure, process, accountability, delivery and client-focus
Strong influencing and interpersonal skills, comfort in working with people at all levels across all functions including ability to engage with senior management to discuss implications of new regulatory requirements
Fluent in English written and verbal communication and an ability to articulate complex ideas, concepts and solutions at a level appropriate and intelligible to the recipient
Have an entrepreneurial mindset and ability to manage complexity, multi task, juggle multiple projects and deliver solutions to a tight deadline
Strong knowledge of Microsoft Office including Excel, PowerPoint, Visio and Project
Be a team player who is easy to work with, shows commitment and dedicated

Business Analyst Regulatory Change Resume Examples & Samples

Develop individual project artefacts as necessary, including Business Requirements documents (BRDs), Functional Requirements documents (FRDs), UAT planning and execution
Demonstrable experience working in a business analyst role, preferably within a dedicated change function
Experience in Regulatory or Tax Projects highly desired

Regulatory Change Compliance VP Resume Examples & Samples

Assisting in the implementation of regulatory legislation across EMEA
Developing impact assessments and advising implementation programmes and businesses on new regulations
Liaising with Trade Associations on ongoing regulatory advocacy, working on drafting the firm's responses to regulatory consultation/discussion papers etc
Advising on policies and procedures for impacted businesses
Interfacing across the business and infrastructure areas to ensure that trading practices and independent controls remain compliant with new regulatory requirements
Advising on design of relevant compliance surveillance and supervisory monitoring programs to comply with the new regulatory requirements
Participating in the design and delivery of training for compliance, front office and infrastructure personnel
Experience of developing policy, assessing risks, conflicts, implementing procedures, training, surveillance, monitoring, investigations and review
Experience in a compliance product advisory role or good products experience
Good knowledge of MIFID II, MAR and MAN
Involvement in significant regulatory compliance change programmes, with direct experience of leading or project managing
Demonstrable competencies and experience working within the compliance department of an investment bank or other comparable environment - legal experience is advantageous
Ability to communicate effectively with SMES and other senior stakeholders

Regulatory Change Consultant Resume Examples & Samples

Either Regulatory Change experience, experience in delivering Finance/Risk change projects via consultancy, or Reg reporting line experience within Investment Banking
Full project lifecycle experience within Financial Services
Excellent stakeholder management skills, and a demonstrable ability to network internally, and with clients
SME knowledge of at least one Regulation relevant to Finance, Risk or Treasury
Experience with Business Development
Client-Facing experience
Prince2 or other Project Management Qualification

Regulatory Change Analyst Resume Examples & Samples

Experience in analysing/manipulating large volumes of data to identify anomalies
Ability to use tools such as Access & Excel to manage & manipulate large volumes of data
Ability to prepare structured PowerPoint presentations
A good understanding of Data flows, data mapping and systems infrastructure
Understanding of Client & Account data incl. Client On-boarding/KYC processes
Understanding of data distribution/interfacing methods & technologies
High attention to detail and effective communication skills

Operations Analyst Regulatory Change Resume Examples & Samples

Perform detailed analysis, process redesign, and project planning
Identify key project risks and manage to resolution or escalate accordingly
Support the implementation/roll-out of TIR projects impacting the FXLM business, specifically for the EMEA region
Develop individual project artefacts as necessary, including Business Requirements documents (BRDs), UAT plans and UAT scripts
Work with the global team including operations, IT, controls and middle office to ensure successful program planning and implementation
Provide operational oversight and BAU support post-migration; act as TIR SME for the FXLM business
Bachelors with 5+ yrs of relevant experience
Demonstrable experience working in a comparable operations role
Experience working in tax operations or on tax regulatory projects highly desired
Experience working on projects encompassing both IT systems and business process change highly desired
Knowledge and working experience of Capital Markets products and industry preferred
Excellent business analysis and problem solving skills essential
Ability to organize multiple parallel tasks/streams; a self-starter who can work independently with minimal oversight
Strong work ethic and ability to work under pressure and to tight deadlines
Strong written and verbal communications skills essential
Strong interpersonal skills and ability to work with multiple functions (Front Office, Middle Office, Operations, Compliance, Technology, Corporate Tax and Finance) to ensure communication, collaboration and agreement
Ability to quickly grasp and master new concepts / requirements and related product / functional knowledge
Strong data analysis skills – ability to take large amounts of data, analyse, identify patterns, issues ,etc
Strong Excel, PowerPoint, Visio, MS Word knowledge; previous experience with MS Access desirable

Project Manager for Regulatory Change Resume Examples & Samples

Oversees the effective design and operation of all key regulatory initiatives for UBS Group globally
Governs the identification, management, resolution and escalation of production issues
Governs the process by which operational risks associated with new and existing business are identified and mitigated
Supports Senior management in managing UBS's compliance to regulatory requirements
Working with the FinfraG Program Manager to oversee the implementation of FinfraG for UBS Group and IB. Managing allocated work streams within the program delegated by the overall FinfraG program. The FinfraG program in turn rolls into the Derivatives Regulatory Reform requirements as part of the global G-20 agenda on Derivatives change

VP-trade & Transaction Reporting Regulatory Change Manager Resume Examples & Samples

Project manager / business analyst for data privacy rules and regulations as they impact global trade and transaction reporting all reporting jurisdictions
Leadership – Lead stakeholders and team of business analysts through project lifecycle
Resource management – Determine resource capacity and allocate resources according to project needs. Prioritize program and projects based on resources
Project Initiation – Define Project scope, Terms of Reference Documentation and identify all key Stakeholders across the organization
Develop programme structure and resource plans
Working Groups – Chair Internal cross asset class working groups engaging with key stakeholders and provide materials for these sessions to enable fact based conclusions to be drawn and a allocated appropriately
Business analysis – In depth review of data privacy reporting requirements across all regulatory bodies. Ability to organize and drive answers based on detail and complex counterparty structures. Work with IT to translate business requirements to functional requirements
Requirements Gathering - Document detailed and intricate business requirements for upcoming regulations. Documentation and analysis should use appropriate change management tools and techniques
Execution - Working with core team from the business, agree defined action plan with owners and dates and follow through to delivery. Working collaboratively with IT, the Business and cross-asset colleagues to ensure a coordinated Front to Back delivery of initiatives
Communication - Ensuring all key stakeholders understand project milestones, risks and issues. Provide regular status updates to management,
UAT – Creating test strategy, supporting test script development and execution, planning and coordinating UAT, as well as facilitating Sign offs for key milestones
Design and document business processes for new world view post regulation implementation. Ensuring business users are trained accordingly
Several years of successful experience in change/project management in the investment banking industry or financia services consulting firm
Must have excellent leadership and management skills
Ability to lead a team of business analysts, including prioritizing projects, train on project/ba skillset, and track progress
Must be performing currently at a VP level
Track record in delivery and implimenentation of change initiatives
Strong business analysis skills with data mining capabilities
Problem solver with ability to think logically to design a solution
Experience in process improvement analysis and business process reengineering
A good understanding with system implementation lifecycle methodologies particularly in the analysis and design phases, including; development of business requirements/functional specifications and test case development
Team player with ability to lead, as well as be a self starter with ability to work under minimal supervision
Strong track record of execution and results, high level of drive to meet deadlines and targets
Strong time management skills with ability to coordinate various initiatives and prioritize
Ability to prioritise, be flexible and respond to changing environments
Strong internal relationship management skills – the team works across many areas of the organisation, the ability to relate to people and work in ad-hoc teams is critical
Desired Knowledge & Skillset
Strong knowledge of investment banking front to back processes and Operations
Knowledge of OTC Derivatives and how they work from trade capture down to Back Office
Knowledge of recent regulatory initiatives such as Dodd Frank, Mifid and EMIR
Knowledge of data privacy or client confidentiality in relation to regulatory reporting
Knowledge around client reference data and counterparty structures
Control processs

Business Analyst Regulatory Change Resume Examples & Samples

Perform detailed business & data analysis, process redesign, and project planning
Develop individual project artefacts as necessary, including Project Initiation Documents (PIDs), Business Requirements documents (BRDs), Functional Requirements documents (FRDs), UAT plans and UAT scripts
Support the implementation/roll-out of TIR projects impacting the FXLM business, specifically for the APAC region
Ability to organize multiple parallel tasks/streams; a self-starter who can work independently with minimal oversight
Strong data analysis skills – ability to take large amounts of data, analyze, identify patterns, issues ,etc

Regulatory Change Analyst Resume Examples & Samples

Minimum experience required, 2 years + experience in financial services, preferably in a legal/compliance setting
Understanding of the GRC (Governance, Risk Management and Compliance) framework as it applies to banks
Proficiency with the Microsoft Office suite of products (Excel, Powerpoint, Word et al

Regulatory Change Business Analyst Resume Examples & Samples

Business analysis of the pre-trade implications of MIFID 2 regulations within the regulatory change program
Responsible for documentation and management of requirements for change to meet the regulations
Responsible for partnering with IT to deliver key requirements
Run the working groups across all levels of stakeholders
Effective communication across a wide range of impacted parties
Graduate level education
Background in Investment Banking, ideally within FO or Compliance related functions
Experience working with senior stakeholders from various bank functions
Detail orientated, intelligent and possesses an innate talent for multi tasking in a multi faceted environment
Ambitious individual looking for an opportunity to progress their career
Experience working with MIFID 2, EMIR, Dodd Frank, CFTC or G20 reporting preferred

Regulatory Change Management Team Project Manager Resume Examples & Samples

Coordinating calls, documenting minutes and project steps according to the Project Management standards
Track progress made against project timeline and report periodically on key highlights, next steps and issues
Partner with technology during the build phase to ensure timely delivery and correct prioritization
Perform User Acceptance Testing of new developments before their implementation
Possibility to mange some analysts part of the same Team
Proven experience in project management, preferably in Private Banking environment or for Regulatory projects
High attention to detail and solid analytical skills. Have the ability to understand processes and be able to map out requirements and end-to-end assessments with the end goal of identifying gaps
Must be fluent in English, other languages an asset
Good knowledge of PowerPoint, Excel, Word, Access and Microsoft Project

Regulatory Change Management Team Analyst Resume Examples & Samples

Performing user acceptance testing of new developments before their implementation
Support training of Front Office users on new implemented applications across different offices
Running key data quality controls across Trading Applications
Financial services background. Solid understanding of main financial products
Strong organizational and prioritization skills. Project management skills preferred
Ability to take initiative and work without constant supervision

Director Compliance & Regulatory Change Resume Examples & Samples

The position requires a comprehensive knowledge of the core compliance function, the regulatory landscape, regulatory change management and monitoring/reviews. The incumbent will possess, or quickly gain, a thorough knowledge of Scotiabank’s UK, Middle East and Europe businesses and an understanding of how regulatory developments will impact these businesses
Attention to detail and high quality oral and written communication skills are essential attributes. The incumbent will be expected to be able to discuss issues with business senior management and with the regulatory authorities in a clear and credible manner
As a senior member of the UK Compliance team, the incumbent must demonstrate leadership behaviours including providing guidance/mentoring and showing a good example to the junior members of the team. The incumbent will be expected to actively manage and mentor the Compliance Officer that will assist him/her with the execution of day-to-day monitoring and review activities
Knowledge and understanding of the aspects of rules, regulations, by-laws, policies and procedures surrounding the licensing, renewal and fee requirements of securities and Insurance
Knowledge of the National Registration Database (NRD)
Knowledge of the securities industry
Knowledge of accounting reconciliation and math skills
Administrative and time management skills to meet various deadlines
Ability to effectively communicate orally and in writing
Knowledge of Capital Markets
Knowledge of MS Office and software tools as applied to the position

Compliance Regulatory Change Consultant Resume Examples & Samples

Creating and maintaining a list of regulatory rules, assessing risks and controls in relation to each and assigning subsequent risk ratings
Knowledge of FCA/PRA handbook ( particular focus on COBS and SYSC)
Knowledge of laws and regulations relevant to financial markets (MiFID, EMIR, MAD etc.)
Familiarity with some or all of the following markets: foreign exchange, cash equity and fixed income, securities lending

PMO Analyst for Regulatory Change Management Resume Examples & Samples

Serving as a global project source information having overview of the relationship between the projects
Managing and reporting on project risks
Aiding preparation of regular project governance meetings
Project financials and resources management reporting
Project pipeline maintenance and management

Consultant, Regulatory Change Resume Examples & Samples

Process and policy guidance
Risk and control assessments
Understanding and interpreting regulatory requirements
Preparation of reports and communications
Event management; and
Supporting the adoption and embedding risk frameworks, standards and tools in line with the enterprise Risk Operating Model

VP-regulatory Change Manager Resume Examples & Samples

Project manage and deliver key regulatory changes across a number of Front Office desks and functions including Risk, Legal, Finance and Compliance
Contribute to the creation, design and implementation of regulatory compliant trading desk business processes, supporting documentation and Quality Assurance (QA) deliverables taking into account the detailed trading activity of trading desks across all asset classes and market sectors
Deliver presentations to Regulatory Reform implementation management covering workstream status and plans
Contribute to the design and delivery of Front Office training plans and materials
Become a point of contact and provide subject matter expertise for internal queries relating to Volcker analysis
Understanding of Front Office trading processes across the full trade lifecycle within a large bank/dealer
Experience designing and implementing structured process documentation
Experience analyzing legal and regulatory material and business processes a plus
Strong project management skills, ability to gain consensus among staff and drive initiatives to completion effectively
Bachelor’s degree, Masters/MBA a plus

Regulatory Change Project Manager Resume Examples & Samples

Liaising effectively and fostering a partnership with other control function
Delivering regular status reporting and data gathering cycles
Maintaining key project documentation and quality control over material presented to senior management
Driving business and delivery teams to meet the requirements of the timeline
Managing inter-dependencies between all participants and multiple overlapping project phases
Contributing to and chairing regular working groups
Actively managing project risks, assumptions, issues and decisions
Acting as a point of escalation for project stakeholders
Conducting status reporting to stakeholders
Working in partnership with the Regulatory Affairs, Business, Legal and Compliance teams to oversee the implementation of new policies, procedures and controls in order to address new legislative or regulatory requirements
Reviewing and analysing relevant regulatory notices

Regulatory Change Compliance Officer Resume Examples & Samples

5+ years of experience in financial services or with a U.S. law firm or government agency experience
Advanced document drafting skills
Advanced computer skills and research skills
Proven ability to exercise prudent commercial judgment and to work with minimal supervision
Focus on problem resolution and not simply issue identification
Ability to learn new and unfamiliar regulatory areas and businesses
Ability to assist in developing new internal processes and controls
Ability to work closely with the Legal team on common issues
Microsoft Word, PowerPoint and Excel knowledge
Familiar with data management and SharePoint
Subject matter expertise in GBIS markets or corporate finance businesses
Understanding of enterprise risk management function and purpose
Understanding of Enhanced Prudential Standards regulations

Regulatory Change Compliance Officer Resume Examples & Samples

Work closely with Compliance Coverage Officers and other relevant Compliance stakeholders, Change and Business management to assess the potential impact of regulatory reform and general regulatory developments
Advise key stakeholders and internal change programmes on final rules to support an effective implementation
Lead/co-ordinate the development of policy and training as required for the implementation of regulatory change
Proactively engage with and represent the firm on relevant industry bodies and maintain links to regulators and industry groups as appropriate, ensuring effective knowledge sharing with key stakeholders to support the application of best practice; and
Engage with other regions to ensure appropriate cross border implementation of regulatory change

Regulatory Change Analyst Resume Examples & Samples

Pro-actively monitoring and identifying changes to regulatory frameworks and regulatory requirements globally
Alert business and risk functions to proposed regulatory changes and work with them to identify risks and opportunities
Working with impacted risk functions to drive forward the regulatory change agenda
Producing high quality material for senior management that sets out concisely the regulatory changes that will impact the bank over the short, medium and long-term
Coordinating the bank’s responses to new regulatory proposals that impact Risk and contributing to industry responses

Regulatory Control Lead-divisional Control Office Regulatory Change Resume Examples & Samples

Working closely with Global Regulatory Affairs, Legal and Compliance teams to understand the impact of new regulation on the business
Leading discussions regarding third country/ legal entity impact
Designing a programme structure and approach, including key roles and responsibilities, governance, work streams and milestones
Identifying and managing communication with all key Stakeholders, clearly articulating roles and responsibilities to ensure successful implementation
Setting up and managing effective programme governance, including a steering committee to be chaired by a Wealth Management ExCo member and regional/topical working groups
Ensuring appropriate representation and engagement of the Wealth Management DCO function at Deutsche Bank wide programme governance bodies and preparing the representatives before each meeting
Defining the agenda and creating the content for the programme steering committee, ensuring that decisions, risks, issues, dependencies and assumptions are discussed in a timely manner
Implementing the programme milestone tracking, Redundant Array of Independent Drivers (RAID) logs and status reporting and establishing a process for regular updates
Tracking delivery against plan and acting as an escalation point for key risk mitigation, issue resolution, dependency management and assumption validation
Aggregating business delivery reporting for Wealth Management and Deutsche Bank governance bodies
Determining solutions that are best delivered consistently across Wealth Management and establishing a structure to facilitate this
Determining solutions that are best delivered consistently across Deutsche Bank and engaging with other businesses to agree approach, responsibilities and timelines
Working in partnership with Chief Operating Officers (COOs), to interpret the business relevance of regulations and to align business and regulatory change priorities
Working with Legal and Compliance to respond to business questions regarding regulation and to provide a consistent interpretation of regulations to the businesses, as new publications are issued
Defining minimum controls and/or procedural standards to be implemented, as a result of regulatory change and ensuring the timely transition of new activities to Run the Bank teams
Providing input to Management Regulatory Affairs on advocacy matters and building output into plans
Contributing to the development of a high performing Global Regulatory Change, by sharing lessons learned and best practices
Demonstrating added value and actively promoting the Global Regulatory Change brand to develop relationships and improve brand awareness
Supporting the development of an environment where people management and development is the number one priority, coaching direct reports and others in the organisation, as appropriate
Actively supporting the business strategy, plans and values, contributing to the achievement of a high performance culture
Taking ownership for your own career management, seeking opportunities for the continuous development of your personal capability and improved performance contribution
Acting as a role model for new employees, providing help and support to facilitate early integration and assimilation into their new environment
Supporting tough people decisions, to ensure people performance is aligned with organisation imperatives and needs and addressing individual performance issues, where necessary, to drive for high performance

Cfm-regulatory Change Senior Manager Resume Examples & Samples

Assist in coordinating the analysis and implementation of significant compliance projects affecting CFM businesses and various internal projects. Work closely with all CFM Reg projects teams and Macquarie Central project teams and the business analysts (Bas)
Participate in business impact assessments and discussions with Legal, Compliance, Operations, Business Operational Risk Manager and the businesses
Assist senior management, the relevant businesses and support functions with the design of frameworks to ensure compliance with the new requirements
Co-ordinate with Legal and Central and Business Compliance on the development of compliance policies, processes and other responses (e.g. governance, monitoring and surveillance requirements)
Identify structural solutions including deployment of resources
Develop and contribute to senior CFM management reporting regarding these projects
Contribute to training programmes regarding these projects
Work with IT in making the required system changes
Manage change requests and priority changes in dynamic business-lead environment
Prepare and deliver effective project presentations as required
Responsible for all relevant booking models aspects. Work closely with RMG Compliance, Businesses, Legal, Business and Central COOs and BORMs to ensure that businesses are compliant with the requirements
Monitoring CFM EMEA's adherence to its Regulatory requirements both in relation to projects (e.g. MiFIR) and day-to-day SMR and Certification requirements
Ensure CFM EMEA is prepared for Regulator's visits by focusing on FCA and PRA communications on current and relevant themes
Work closely with CFM business BORMs and RMG Business Compliance on all the facets of SMR/Certified person's responsibilities e.g. reporting lines, suitability, appropriate MI being provided, trader mandates being adhered to, booking models, surveillance and monitoring, training, consequences management, etc
Provide support for all non-EMEA Regulatory projects to ensure CFM EMEA is compliant (e.g. FATCA, DF, etc.)
Good compliance and legal knowledge
Good knowledge of booking models, European regulations, SMR
Strong project management and team working skills, with proven results implementing projects (regulatory related preferred but not required) within a financial/trading environment. The role will encompass the end to end delivery and involve working with both onshore and offshore delivery teams as well as multiple stakeholders across the CFM businesses
Proven effective communication skills with stakeholder sets that include the global business, Operations, Legal teams and Compliance to deliver timely solutions
Experience with building/assessing governance and compliance frameworks in response to new regulations and standards is preferred but not required
Experience with Board and senior management reporting
Excellent Microsoft Project and Microsoft Office (Word, Excel, PowerPoint) skills
Broad understanding of front, middle, and back office functions
Good understanding of trading systems
Outstanding academic results in a relevant discipline such as Finance, Economics, Accounting or Law or relevant regulatory project management experience

Tax Controls & Regulatory Change Associate Resume Examples & Samples

Conduct detailed analysis of Business, Control, and front to back Operating processes and systems; defining corresponding solutions
Partner with Front Office, Products, Control Functions, Technology and Operations teams to implement and embed solutions
Understand the implications of regulatory teams to implement and embed solutions due to new local and cross-border regulation as well as changes in Citi
Proven Project Management and Analysis experience
Understanding of Tax Regulations (e.g., CRS, FATCA, UK CDOT)
Understanding of Tax operational processes (e.g., Documentation, reporting withholding)
Experience in Private Banking / Private Client Investment Management industry preferable
Proven experience in MIS production essential
Knowledge in usage of Excel, specially Macros and MS Data pack Skills
Excellent interpersonal skills and ability to develop strong working relationships across functional lines
Professional outlook with the ability to use initiative, manage deadlines, coordinate multiple tasks and work to deadlines and targets
Good initiative and Creativity – ability to present alternatives and constructive new ideas
Accuracy and Attention to detail
Numerate and analytical skills
Fluent in English written and spoken is a must
Preferably Degree educated, however, exceptional candidates who do not meet this criteria may be considered provided they have the necessary skills and experience

Regulatory Change Compliance Officer Resume Examples & Samples

Where required participating in thematic and monitoring reviews of business activities
Oversight or assessment, communication and implementation of regulatory change to include the drafting of responses to industry papers
Participation in ad hoc projects
The role may require input across other BNY Mellon operations where business is outsourced. Therefore, the jobholder should be prepared to travel
Producing in timely manner analyses of regulatory change documents, including Consultation Papers, Policy Statements, Draft and Finalised Guidance etc. The analyses should identify areas of potential impact for BNY Mellon arising out of such changes
Provision of advice to legal entities and businesses in relation to the implementation of major regulatory changes and the development of traceability matrices
Develop BNY Mellon’s interpretation of regulatory requirements with input from Legal as required
Participate in internal business meetings and represent BNY Mellon externally as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge within meetings regarding relevant regulatory requirements
Participation in the coordination of any exams of BNY Mellon’s firms by regulators, or coordination of responses to regulatory requests
Track and monitor implementation of regulatory changes
Providing guidance and assistance to junior members of the team
Participating in the delivery of Compliance related training
Where required participate in compliance monitoring reviews
Where required, represent Compliance at the regular board or committee meetings of the local legal entities as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge
Contribute to the timely production and maintenance of relevant Compliance policies and procedures
Comply with health and safety policies and procedures operating within the business
Strong knowledge of the local regulatory environment and ongoing regulatory initiatives which impact the business lines
Understanding of the investment services industry and banking industry
An understanding of the European regulatory framework
Some understanding of applicable US regulations
A good knowledge of BNY Mellon’s business and systems
The ability and willingness to provide constructive but effective challenge
Excellent report writing and presentation skills
Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high level of accuracy
Excellent English. Other languages desirable but not essential
Good PC skills (Microsoft Excel, Word, PowerPoint. SharePoint useful
Degree educated or a strong academic record with particular preference for accounting, legal, compliance background
Previous experience within Compliance or Legal function including proven leadership skills, or significant business experience with experience in control environment

Compliance Analyst Regulatory Change Resume Examples & Samples

Provide research and analysis to identify new or modified rules, regulations, and laws applicable to the financial services industry. Track regulatory changes in the Governance, Risk and Compliance system
Engage with business partners to ensure that regulatory changes are identified, assessed and appropriately implemented
Prior government experience
Prior experience with procurement lobbying laws, gifts and entertainment laws, or political activity laws
Experience with automated solutions to business processes

Regulatory Change Programme Manager Resume Examples & Samples

Understand, assess and dimension the impact of regulatory changes on the Product and client construct
Drive the planning and implementation of regulatory changes to meet key deliverables
Chair and Manage regular Forums related to regulatory changes
Manage relationships with key partners including Compliance, Risk, Operations, Tax, Technology and Client teams
Sound knowledge of Microsoft Office applications essential – MS Excel and PowerPoint in particular
Excellent interpersonal and communication skills, to be able to work together with people from over 50 countries, as well as across various functional groups
Ability to perform under pressure

Regulatory Change Management Coordinator Resume Examples & Samples

Implementing clear processes to identify, in partnership with other compliance colleagues, new and amended UK/ EMEA / EU Regulations and Directives (“Regulatory Change”), leveraging regulatory publications, industry forums, external legal sources and internal newsletters
Capturing identified Regulatory Changes, and ensuring they are communicated to relevant compliance officers and potentially impacted businesses and functions
Liaising with colleagues in other functions actively engaged in Regulatory Change Management (e.g. Government Affairs; Legal)
Assisting the business with assessing the impact of a Regulatory Change and with the development of an action plan if required, using knowledge and understanding of the regulatory environment to add value to the process
Providing valuable input into the Global Compliance ‘Must Win Battle’ around Regulatory Change Management
Taking a lead role in the implementation of the new Regulatory Change Management Standards across the EMEA region, ensuring that all impacted stakeholders are aware of the impact of the Standard and their responsibilities in relation to it, providing training, advice and support where needed
Establishing clear lines of communication among those with responsibility for Regulatory Tracking across countries, products and functions to ensure consistency, coordinating and leading regular meetings as required
Producing quality and timely monthly reports on Regulatory Tracking, liaising with other compliance officers as necessary, feeding the GCM (Global Compliance Monthly) Report and socialising at governance forums as necessary
Ensuring that Regulatory Changes are incorporated into key downstream compliance programmes where required, in particular the RCM (Regulatory Control Matrix) but also CARA, monitoring, testing and training
Assisting with global and regional project work as necessary, including potential system enhancements related to the Regulatory Change process
Ensuring sustainability of the Regulatory Tracking framework, including inventory quality and reporting capabilities
Expected to think innovatively, suggesting creative ways to improve and enhance the framework
Financial Services Industry experience with a background in Compliance or Legal
Strong understanding of the regulatory environment/landscape in the financial sector – able to interpret legal and regulatory developments, and their potential implications for the firm
Strong understanding of Citi’s businesses and functions, and their risk profiles
Experienced in / ability to work within a matrix reporting organisation
Self-starter who takes initiative
Superior interpersonal skills with the confidence to interact with senior management
Demonstrates attention to detail and the ability to meet deadlines
Excellent oral and written communication skills; able to explain potentially complex concepts in a straightforward manner
Ability to manage and facilitate work projects both on the ground and with remote units
Demonstrable ability to influence peers
Strategic and goal-oriented focus
Able to foster a strong team spirit/ morale within their team, and across a multitude of geographical and business locations, as well as with other branches of the Compliance function
Able to work effectively with local contemporaries and peers in other regions to maintain a collaborative culture
Well organised and able to execute responsibilities independently with minimal supervision; ability to prioritise multiple tasks and bring tasks to completion within established timeframes
Proficient in the use of MS tools

Regulatory Change Management Resume Examples & Samples

Three to five years of experience in an applicable risk management environment
Ability to exercise good judgment in a compliance setting
Ability to research and manage multiple projects and deadlines simultaneously
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact banks and the financial industry in general
Thorough understanding of Banking business line operations, products/services, systems, and associated risks/controls
CRCM or other applicable professional certification

Regulatory Change Analyst Resume Examples & Samples

Applicable professional certifications
Experience leading large initiatives impacting multiple departments, systems, and processes
Proven ability to analyze and develop concise summaries of regulatory expectations, issues, processes and system requirements
Experience presenting to cross-functional leadership teams
Ability to exercise good judgment in a compliance setting
Strong meeting management and presentation skills
Strong attention to detail, process facilitation, project management, and analytical skills
Strong knowledge of applicable laws, regulations, financial services, and regulatory trends that impact banks and the financial industry in general
Thorough understanding of Banking Business Line operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk, Compliance, and Audit competencies
PMP, CRCM, or other applicable professional certification

Compliance Regulatory Change Resume Examples & Samples

Develop training plans and strategies in collaboration with appropriate stakeholders
Develop training content and communication strategy in collaboration with subject matter experts
Manage training platform implementation and maintenance
Manage vendor relationships for the transformation program when applicable
Validate training plan completion, ensuring participation targets are met
Evaluate training plan effectiveness and remediate gaps
Maintain appropriate records
Assist with development, management, and delivery of training programs throughout SG in the U.S
Minimum of 5 years experience in the financial services industry
Excellent written and oral communication skills and presentation skills
[5+] years of experience across an investment bank and / or law firm or Compliance training
Experience with web based and vendor based training platforms
Advanced experience with Microsoft Word, Excel, and PowerPoint
French

Senior Regulatory Change Counsel Resume Examples & Samples

Assisting the business in its stated objectives to raise the banks profile in the asset management space and to enable the business to engage actively on regulatory developments and where relevant to influence the discussions
Effective execution and alignment achieved through ability to work with legal colleagues and the global organizational matrix; demonstration of a global perspective and cultural understanding
An expericenced buy side regulatory lawyer
Be able to advise on various the effects and practical implementaion of all relevant regulation
Be a proactive self starter with the ability to take ownership and follow through on delivery
Be a confident and clear communicator (written and oral)
Be a flexible team player across the Legal Function
Be customer focussed with a positive attitude

Regulatory & Change Project Manager Resume Examples & Samples

Representing EMEA ECOBT at project review/update meetings
Primary point of contact for EMEA ECOBT for other BNYM departments relating to projects
Producing and delivering project communication plans and project updates to stakeholders
Managing the delivery of project milestones relating to EMEA ECOBT through the teams impacted by the project
Develop a project management framework within EMEA ECOBT
Maintaining project trackers and records
Experience managing projects and people to deliver
Track record of managing change in a busy work environment
Strong Senior Stakeholder Management
Ability to build relationships and influence people

Regulatory Change Manager Resume Examples & Samples

Be responsibility for the delivery of one or more Regulatory Change Projects within the PCB
Regulatory Management portfolio
Directly manage budgets up to £1-2m

Regulatory Change Compliance Specialist Senior Resume Examples & Samples

Welcoming customers to Huntington and establishing professional relationships with them
HS Diploma or GED
1 year experience working with customers
A Bachelor's Degree in a business related field is preferred, but not required
Cash handling skills preferred but not required
Comfort with technology such as mobile services and online banking services, a plus

Managing Executive Sme-head of DCS Collateral & Regulatory Change Management Resume Examples & Samples

Continued proactive research & support of development relative to core business along with being reactive to Front Office initiatives, in order that business is handled timely & accurately to customer satisfaction
Regulatory Focus:-
Demonstrable product knowledge – Derivatives, Collateral and Securities
Demonstrable knowledge of Derivative and Security clearing systems and exchanges
Demonstrable knowledge on Money Laundering procedures
Demonstrable Man Management skills in particular team building
Demonstrable communication skills
Demonstrable negotiation skills, covering documentary technical, legal or general contract matters at meetings, conference calls or general management issues

Regulatory Change Business Analyst Resume Examples & Samples

Derivatives Products (OTC and ETD)
Structured products knowledge
Working knowledge of the Wealth business and be able to demonstrate an understanding of the wealth investment process
Wealth operations working knowledge
Glasgow Dealing desks knowledge and relationships
Trade reporting knowledge
Best Execution and Pricing and Valuation knowledge
Portfolio Compression, Reconciliation
Experience of implementing EMIR, Dodd Frank and MIFID 1 changes
Business Analyst experience on large scale change initiatives
Data modelling experience using UML (desirable)
Knowledge of Project Office and Project Management
Highly organised, structured and result driven
Demonstrated ability to build strong relationships with senior stakeholders
Experience in Agile delivery

Regulatory Change Analyst Mifid Resume Examples & Samples

Compliance experience or experience of Regulatory Change in a project environment
Must understand the importance of and be able to work to tight deadlines
Calm with good interpersonal skills and strong oral and written communications skills
Concern for accuracy, with good attention to detail
An individual who has been able to demonstrate the following skillsets in their current and/or previous roles
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)/ JIRA experience (not essential)
Experience with MiFID 2 or in an Audit/Accountancy role (to have a qualification as a Chartered Accountant, or other relevant professional financial qualification (e.g CFA) would be helpful. We will also consider part-qualified candidates currently on other bank ACA/or similar programmes)
Keen to learn new information, adopt new skills and have the ability to identify and make improvements to systems and processes

VP Regulatory Change Manager Resume Examples & Samples

QA of business process and supporting documentation with reference to regulatory expectations
Accountable for the successful delivery of workstream deliverables in line with overall project objectives and timescales
Deliver presentations to Regulatory Reform Implementation management covering workstream status and plans
Become a point of contact and provide subject matter expertise for internal queries relating to various regulations
Experience running high impact projects as a consultant or internal change group
Exposure to global markets
Strong project management skills; ability to gain consensus among staff and drive initiatives to completion effectively
Strong interpersonal, influencing and organizational skills to mobilize and motivate delivery in a co-operative and collaborative working environment across trading and support/infrastructure/control functions
Excellent verbal and written communication skills, to effectively produce procedural documentation and communicate with senior management. Ability to seamlessly communicate complex technical issues to non-technical colleagues

Regulatory Change Management Project Manager Resume Examples & Samples

Coordinate Regulatory Change Management projects submissions to Business Change Committee including scheduling, agendas, escalations and preparatory meetings
Conduct a thorough review of uploaded documents for accuracy and completeness
Draft RCM Meeting Minutes and upload to RCM SharePoint
Manage Regulatory Change Committee Documentation and Reporting
Lead updates to RCM procedure and document templates
Create monthly RCM dashboard and traceability templates
Maintain Regulatory Change Management SharePoint Site
Create Project Folders and grant site permissions for RCM SharePoint, Update and validate Project folder fields as needed
Conduct periodic user entitlement review of the SharePoint site
Technical Maintenance of SharePoint Site-make requests for increased space, label changes
Support Business Change Committee coordinator in the following areas
Business Change Committee meetings facilitation and follow ups, documentation and reporting
Maintenance of Business Change Committee SharePoint Site including quarterly self-audit
Support compliance with Records Retention policy and procedures, maintain internal SharePoint sites
Complete a weekly internal audit of all records uploaded to the PABB SharePoint
Coordinate technical and aesthetic updates to the Personal and Business Banking SharePoint site as needed
Coordinate and ensure quarterly record uploads to the Personal and Business Banking SharePoint
Report on the Personal and Business Banking SharePoint as needed
Maintain Internal Controls Handbook for Regulatory and Controls Team
Coordinate quarterly review of customer disclosure approvals
Strong computer Excel, Power Point and SharePoint skills, Visio a plus
Ability to interface with senior leadership across franchise and work with cross functional teams in a matrixed organization

VP, Technology Regulatory Change Manager Resume Examples & Samples

Bachelor's degree in related technology field or equivalent
Demonstrated ability to analyze technology-focused regulations (from US and international agencies) for impact on internal technology controls frameworks and programs
Strong project and process management capabilities are required
Demonstrated ability to successfully communicate and influence at the senior executive level
Ability to persuade and influence is KEY. Must have ability to be tactful yet assertive with strong collaboration and negotiation skills
Experience working with geographically distributed and culturally diverse work groups

Attorney, Regulatory Change Management Resume Examples & Samples

Must have at least 4 years work experience from either a broker-dealer, bank, or similar company in any of the following: financial services regulatory analysis, regulatory change management, regulatory inventory, inventory of laws, inventory of obligations, or drafting comment letters on rulemaking
Strong communication and analytical collaboration skill
Strong project management,
Change management, and/or process improvement skill set

Regulatory Change Resume Examples & Samples

Project Management responsibilities for new TR implementations or new reg reporting change projects
Detailing for Trade Repository Reporting (TRR) business requirements to allow each line of business to establish the functional/build requirements for their area to comply with new reporting regulations
Influence the shape of future regulatory technical standards (advocacy) through trade bodies, industry working groups, regulators and partnering with government affairs, legal and compliance for CAO
Impact Assessment of regulations for CAO and regulatory consultations
Communicate with various cross asset operational teams and technology to ensure everyone is aware of the regulatory change landscape
Provide recommendations to enhance current processes and control environment
Work closely with external vendors to understand the implications of new reporting processes and releases
Communicate risks and issues with senior project managers
Syndicate requirements with cross asset teams from both operation and technology backgrounds
Provide program manager support by convening and chairing targeted meetings and committees
Ensure the current regulatory reporting controls are adequate for any new processes
Understanding of OTC Derivative products (Credit, Rates, FX, Equities and Commodities)
Logical and structured approach to planning and problem solving and decision-making
Proven ability to collaborate with partners across multiple disciplines and functions
Good Microsoft Office skills – Excel, Word, Visio and PowerPoint
Ability to anticipate issues and aggressively drive initiatives to achieve results
Risk and controls awareness
Attention to detail. Should be capable of drilling down to project issues (technical and business) and guiding the team to resolve them
Strong negotiation and co-ordination skills to work in partnership with the business users, business analysts and other technology teams
Thorough understanding of SDLC phases and essential documentation in each of these steps
Strong communication (verbal and written) and presentation skills
Minimum bachelor’s degree from reputed University with good academic record
Minimum 10 years of total experience with minimum 5 years as project manager

VP, Regulatory Change Management Resume Examples & Samples

Identify opportunities to influence rulemaking process through partnership with industry groups and where appropriate, through direct interaction with regulators through meetings or notice and comment process
Monitor more than 80 regulatory bodies for regulatory changes potentially impacting the business, create impact assessments of changes, and coordinate with business partners to understand and document specific process, policy and technical impacts associated with regulatory change
Liaise with regulatory change management organizations within affiliates to ensure regulatory changes are identified, properly assigned, to ensure efficient and collaborative process
Maintain RJF regulatory change management program documentation, including dashboards and project status for active regulatory change initiatives
Provide status updates of regulatory change management program to compliance leadership via participation in monthly and quarterly compliance leadership meetings
Coordinate with RJF Compliance Technology leadership and IT Compliance Program to ensure consistent communication across programs
Manage Regulatory Change Management team, with emphasis on building necessary regulatory and business expertise, effective communication skills, analytical and critical thinking capabilities
Drive continued improvement in technology supporting the regulatory change function, including exploring new opportunities for strategic investment
Coordinate with Enterprise Risk Management to ensure risks and issues associated with regulatory change are properly identified and reported
Domestic and foreign rulemaking processes
Complex financial services organizations and environments
Broad range of financial services products and services
Regulatory and legal concepts associated with the rulemaking process, including the notice and comment process
Domestic and foreign regulatory bodies and industry groups
Regulatory change management tools and technologies
Manage and developed staff; leadership by example
Understanding competing priorities, finding opportunities for efficiency in regulatory implementation
Influencing business partners; high level of influencing and stakeholder management skills
Demonstrable track record of successful delivery of large-scale, high-profile strategic change projects
Proven experience in leading impact assessments for financial services organizations as a result of a regulatory change
Synthesizing and developing assessment of regulation, impact and the strategic response to meet regulations
Strong technology skills, notably Office suite
Proven Change Management skills and expertise
Experience of working with multiple stakeholder groups with vested interest
In leading impact assessments for financial services organizations as a result of a regulatory change
Understand foreign rulemaking process and develop expertise where needed
Operate in a heavily regulated organization under Federal Reserve Board oversight
High degree of initiative and strong ability to meet key responsibilities with limited direction and oversight
Strong relationship building and collaboration skills with proven experience working with senior management and/or regulators
Good interpersonal skills and ability to deal effectively with firm senior management and team members at all levels
Work unsupervised and meet deadlines
Strong organizational and time management skills, with the ability to manage multiple responsibilities and takes simultaneously
Reliability, conscientiousness and ability to produce work of a high quality
Bachelor’s Degree (BA) in a related discipline required, J.D. preferred
10 years of Regulatory Change Management experience is required
5 years of Management experience is required
Relevant experience, preferable 15 years + Compliance or Legal experience in a Global Financial Institution, a Bank and/or a Broker Dealer

Regulatory Change Mgmt Compl Senior Analyst Resume Examples & Samples

Responsible for conducting the daily review of the Federal Official Gazette to identify potential applicable regulations to Citibanamex’s operations
Of the regulatory changes identified, determine applicability, monitoring implementation, assessment on controls associated with the new changes
Capture the regulatory changes into the RCM System and communicate to assigned Compliance Officers
Request the Implementation Plan of the new or updated regulation and follow-up with Product Compliance Officers on the status of the implementation
Communicate, escalate and report the changes and related action plans through working groups, governance forums and escalation paths
Actively coordination of the Regulatory Change Management Operating Model for new regulations or changes to existing regulations
Leading participation in the Regulatory Control Matrix (RCM) global system project and their governance processes
Clearly define the agreements arisen in the RCM Governance Working Groups, ensuring effective oversight of the regulatory discussed items
Early identification and assessment of compliance and regulatory risk
Responsible for the follow up of the agreements arisen in the RCM Governance Working Groups, ensuring effective oversight of the regulatory discussed items
Generate RCM reports and metrics, as information valuable for the Senior Management decisions
Establish a professional relationship with internal / external stakeholders and proactively represent Regulatory Compliance as required
Bachelor’s degree in Law
Master’s degree is a very valuable plus
Laws, regulations and corporate policies implementation experience for at least 5 years
Experience on Regulatory Change Management Process Flow
Understanding of Legal framework and identification of Legal risks related to banks and financial institutions
Knowledge of the main laws and regulations for the financial and banking sector in Mexico
Fluency in English and Spanish required (written and oral)
Experience in Compliance and Control matters is a valuable plus
Strong organizational and Regulatory Change Management experience
Excellent analytical, organization, communication, facilitation, negotiation and influencing skills with stakeholders
Ability to multitask and manage multiple regulatory project deliverables
Shows technical and analytical skills, very good follow-through on problem resolution and attention to detail; demonstrate the ability to extract and synthesize data, determine trends and make appropriate risk assessments based on facts and data
Must be a team player, very self-motivated and able to manage and prioritize workload with minimal supervision
Demonstrate sound judgment and strong decision-making skills
Strong performance record with a history of increased responsibility, and task / project delivery
Has proven abilities in taking responsibility for permanently providing high quality deliverables according to strict timetables
Experience in managing teams. Thus should be the area VP back-up
Candidates should have at least 5 years of diversified financial experience, ideally including experience in Regulatory, Control, Compliance or related fields; preferably within Citi knowledge of Citi's businesses, products and policies
Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
Must be an articulate and effective communicator, both orally and in writing, with an energetic,and approachable style. Present self in a confident and professional manner
Strong interpersonal skills for interfacing with all levels of internal and external teams. Proven ability to interact with senior management
Proficient with use of MS (Power Point, Word, Excel) and ability to navigate and analyse data
Has the ability to gain an understand Corporate and product-specific policies/control environment, as well as key regulatory requirements

Project Manager Mifid, Regulatory Change Resume Examples & Samples

Compliance experience or experience of Regulatory Change in a project environment
Must understand the importance of and be able to work to tight deadlines
Calm with good interpersonal skills and strong oral and written communications skills
Concern for accuracy, with good attention to detail
An individual who has been able to demonstrate the following skillsets in their current and/or previous roles
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)/ JIRA experience (not essential)
Experience with MiFID 2 or in an Audit/Accountancy role (to have a qualification as a Chartered Accountant, or other relevant

Senior Compliance Analyst Consumer Regulatory Change Management Resume Examples & Samples

Minimum of three years of related experience with a foundation in Consumer businesses, control environments, general regulatory knowledge, project management, and reporting and creating presentations
Consumer and/or Compliance experience
Strong communication skills is critical – both written and oral (including strong Microsoft Office skills, in particular in Excel and PowerPoint)
Strong knowledge of Controls
Ability to succinctly convey information through presentations and ability to create visually effective presentations appropriate for management
Experience working in a large matrix organization is a plus
Demonstrate flexibility, versatility and an ability to own multiple concurrent priorities to completion, on schedule, with minimal guidance
Extremely strong attention to detail

Strategy & Regulatory Change Resume Examples & Samples

Establishing the Plan, Approach and Strategy for the execution of the programme – optimising timelines, resources and ensuring a strong focus on incremental delivery
Mobilise Cross Functional teams, securing the talent from Change, Technology, The Data Office, Process Office, the Business, and functions
Ensure strong governance over the programme and effective stakeholder engagement and involvement in the programme – ensure transparency on delivery, issues escalation and decision making
Where appropriate, shape and manage the delivery of third party expertise
Ensure comprehensive documentation, including project plan/ milestones, business requirements, process flow diagrams and management/ project status reporting
Identify and act on opportunities to deliver efficiencies, reduce timescales and improve execution across business areas
Ensure tasks are carried out in accordance within risk and control guidelines and all necessary Barclays Change Standards
Manage Dependencies within the Programme Director’s book of work as well as dependencies with other programmes
Contribute towards the leadership of the IB SRC Function and Execution team(s)
4 year College Degree, or equivalent work experience
8 plus years Programme/Project experience
3-5 plus years experience working at the Director level, managing and delivering large scale change initiatives within the Investment Bank
Broad Financial Services experience
Deep understanding of Front to Back process of the Markets or Corporate Business
Deep Product knowledge on at least one asset class – Equities, Macro, Lending is a must
Subject Matter Expertise in one or more areas of the product life cycle
Strong leadership skills, with a proven track record of managing global projects
Strong understanding of design, data, process
Strong Programme Management Skills
Ability to lead large scale delivery programmes from inception to conformance
Strong communication skills, excellent attention to detail
Demonstrated ability to build strong relationships with Senior Stakeholders across Front Office and Business Functions

Regulatory Change Project Manager Resume Examples & Samples

Manage communication of status updates to stakeholders and Senior Management (CFOs, Business Managers, Controllers, heads of Legal, Compliance, Operations, Technology etc.) through presentations and reports used in different forums
Build and maintain working relationships with stakeholders in the different businesses our team supports (e.g., Equities, Fixed Income, Commodities, F&O) and functions (e.g., Legal, Compliance, Technology, Operations, etc.)
Managing resources in the team supporting the Program
7+ years business process or technology project experience
Experience leading a small team of project managers / analysts
Good knowledge of Investment Bank businesses and high-level transaction flow
Strong written, verbal and presentation communication skills
Knowledge of Regulatory Reporting a plus

Regulatory Change Manager Resume Examples & Samples

Planning and monitoring the Programme/project progress, resolving issues and initiating corrective action as appropriate
Ensuring the regulatory book of work for which they are accountable are aligned to, and deliver against, the objectives and strategy
Managing a team of a highly skilled colleagues in completing Impact assessing of all regulations impacting Barclays UK to be able to identify accountable executive, delivery owner and ensure a readiness check is completion for transition into a delivery programme; role will require the Lead to work on some IAs directly where a regulation is very complex
Ensuring a delivery project is mobilised to appropriate levels of quality, timely and with allocated initial budget within the allocated timelines
Experience of leading and managing Communication with senior stakeholders – e.g. Senior MDs, Head of Business / Products, Head of Functions, ExCo Members
Managing the internal and external dependencies and interfaces between regulations and identifying responses that are strategic and aligned across Barclays UK
Management of the risks and issues affecting the regulatory portfolio of Barclays UK
Running business level Regulatory Forums used as a first point of escalation of all regulatory issues to the business heads – facilitating, leading, managing the meeting and ensuring actions agreed from these meetings are followed-up and closed
Planning and running Monthly Business Review sessions for the function with control on all the Key Performance Indicators and progress against those base-lined at the beginning of the year
Coaching and mentoring of team members on the projects to ensure delivery against targets and continuing professional and personal development
Provide objective feedback and input into formal Performance Development Reviews and Annual Reviews of all direct project reports, whether these are assigned from the Change Resource Pool, or from the business line or other functions
Decide on strategic options and assessments work to develop responses and options to respond to regulatory change
Interface with multiple stakeholders across legal, compliance and technology to develop appropriate requirements, processes and solutions
Use appropriate skills and experience to be able to flex working style with stakeholders and experience of working in a fast paced and outcome driven organisations
Experience of working with business stakeholders to facilitate translation of regulatory requirements into impacts across customer journeys / product coverage, technology, processes, colleagues and clients
Understand the impact of regulatory requirements on Barclays UK processes and the business areas that use them and develop operating model designs and processes that implement the requirements in an optimal way from a client experience, process & cost efficiency perspective
Ensure all the businesses within Barclays UK are engaged with an explicit conformation on scope
Ensure the impact assessments are detailed enough to provide delivery teams the required details to plan delivery phase
Ensure that knowledge and experience is shared through best practice, mentoring and leading
Ensure there is timely and appropriate escalation of issues relating to regulatory landscape with an aim to ensure an outcome is driven out of these escalations; taking ownership of the ultimate objective
Contribute to the development of business analysis, change management tools, techniques, standards and methodologies to improve their efficiency and effectiveness

Global Compliance Firmwide Fiduciary Team-executive Director Regulatory Change Management Resume Examples & Samples

Lead and oversee regulatory response and exam management on certain fiduciary related matters (with an initial focus on prudential regulatory interaction)
Coordinate, draft and syndicate key regulatory responses with senior management
Program management capacity; be able to identify gaps and risks as well as drive initiative forward
Manage the Fiduciary regulatory changes across lines of business
Strong fiduciary-related regulatory subject matter expertise (prudential and/or non-prudential regulations)
Proven record of drafting and managing regulatory responses and communications
Adept in communicating complex messages succinctly, written and verbal
Ability to identify root cause amongst the noise
Advanced PowerPoint and Word skills
Ability to connect the dots on various efforts to efficiently and effectively implement program
10+ years financial services industry experience

Regulatory Change Management Resume Examples & Samples

Establish a compliance program and procedures for the identification, impact assessment and communication of regulatory changes
Administer the Compliance Policy framework: development of new policies and ongoing reviews / management of existing. In doing this ensure they are reasonably designed to meet Legal, regulatory and Corporate (Madrid) requirements
Establish detailed Compliance reporting at a SHUSA level across all identified Compliance risks and related material regulatory interactions. As part of this ensure that consistent approaches to compliance data management are followed across LE’s to support required aggregation of issues and data
Ongoing management of the TR relationship and systems in relation to RCM
Oversee the implementation of the SHUSA wider RCM and Policy frameworks, including any required certifications
Ensure that all required Policies meet regulatory requirements and monitor effective roll out across LE’s. This will include setting the approach and monitoring the completion of appropriate impact assessment
Prepare, authorize and provide required reporting: ad hoc and regular. This will be for all relevant Committees and Boards eg CEC, ERC, ERMC, BA, BRC and Board
Recommend and implement changes to the Policy and Reg Change frameworks as appropriate
Responsible for all aspects of team members' life cycle including recruitment, performance management and development
Bachelors or Equivalent
At least 10 Years Bachelors Degree in Bus Admin, Accounting, Finance, or equivalent experience. 10+ years and sufficient knowledge from the compliance, legal/regulatory or risk management perspective
A JD is a plus. Broad regulatory knowledge and experience
Ability to make, support and defend potentially difficult and complex regulatory / compliance decisions in a fast-paced business environment
Ability to project confidence and professionalism in all dealings with regulators, business personnel and senior management
Strong understanding of Title VII of the Dodd-Frank Act as it pertains to the obligations of swap dealers

Risk & Regulatory Change Consultants Resume Examples & Samples

Demonstrated ability to deliver projects with minimal but regular guidance from (assignment) manager
Demonstrated ability to craft detailed implementation plan for accomplishment of 'streams' of work/analysis
Demonstrated ability to manage small number of support staff to support delivery of analysis
Demonstrated ability to react to changes in requirements, timeframes, data availability constructively
Demonstrated ability to draft client documents
Demonstrated ability to interact with junior clients with no oversight and to interact with senior clients when supported
Demonstrated ability to manage own time effectively
Ability to identify extension opportunities while on assignment
Potential to support sales activities within the practice
Good knowledge of one of the core industry areas commensurate with experience requirements outlined above
Awareness of industry issues within core areas

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