Regulatory Office Resume Samples

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C Carter

Christ

Carter

940 Wisoky Expressway

Dallas

+1 (555) 929 0674

940 Wisoky Expressway

Dallas

Phone

p +1 (555) 929 0674

Experience Experience

Detroit, MI

Regulatory Middle Office Control Analyst

Detroit, MI

Larson, Maggio and Koelpin

Detroit, MI

Regulatory Middle Office Control Analyst

Recognize key areas of risks in the regulatory reporting process and develop recommendations for process controls improvements
Develop and maintain strong working relationships with key stakeholders
Create Management Information Packs via Power Point presentations
Develop recommendations for process control improvements
Manage and develop robust testing environment to evidence complete and accurate reporting
Identify key areas of risk in the reporting process and influence development of control framework
Manage maintenance of procedures and other documents relating to the team

Detroit, MI

Corporate Risk-regulatory Capital Middle Office

Detroit, MI

Schimmel and Sons

Detroit, MI

Corporate Risk-regulatory Capital Middle Office

Manage the workflow of tasks / activities, queries, issues and requests made to the respective team (using a call-tracking database, etc)
Ensuring accuracy on performing BAU related activities / tasks and non disclosure of client information by preserving client confidentiality
Establishing and maintaining excellent relationships with the Business partners/Clients as well as the people in the support groups
Lead process improvements and automation/enhancements to current activities / tasks
Maintain essential business, client and corporate data in RCMO systems to facilitate accurate reporting
Participate in UAT (user acceptance testing) on enhancements and changes to Basel systems; including analyzing the impact of enhancements on RWA/Reg Capital
Achieving the daily/weekly and monthly volume targets

present

Chicago, IL

Deputy Head Office of Regulatory Project

Chicago, IL

Schinner-Heathcote

present

Chicago, IL

Deputy Head Office of Regulatory Project

present

Keep our operational risks low and enhancing the culture of risk management
Develop professional relationships with sponsors and with all the stakeholders
Ensure the communication with SGPM and SGIL top management
Ensure an efficient change management,
Assist the Head Office of London Regulatory Projects,
Communication with the top management and the other departments,
Develop people to better face the new context

Education Education

Bachelor’s Degree in Ongoing Assessment

Central Michigan University

Bachelor’s Degree in Ongoing Assessment

Skills Skills

Work with CCO leadership and peers to improve the oversight of the regulatory and policy control framework by creating an E2E lens for assessment and remediation
Oversee the effective and timely implementation of specific Group policies and development of related standards including identification/approval of applicable dispensation, waivers and/or breaches
Assist in the development and embedding of the ERMF and any related programs and projects
Conduct control reporting which evidences, monitors, and tracks key 1LOD regulatory compliance risks
Develop relationships with key stakeholders to ensure 1LOD regulatory compliance controls are embedded effectively across the BCUS businesses and synergies are leveraged where applicable
Oversee the remediation efforts relating to material control issues related to the E2E compliance assessment programs
Work with the 2LoD/3LOD functions (Compliance, Audit, Legal, Operational Risk, etc.) to understand applicable policy interpretation on how to operate in control
Ensure engagement in Barclays Internal Audits at the direction of CCO leadership
Interface with BCUS and CCO leadership and teams to ensure alignment in the overall execution of control deliverables
Establish strong relationships with key leaders to help shape the control strategy, and ensure collaboration and buy in

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Regulatory Office Resume Examples & Samples

Eliminate risk of regulatory sanctions through the oversight of regulatory inspections
Leading core compliance tasks accomplished in co-ordination with a team of regulatory compliance officers
Provide effective and efficient operation of regulatory matters within timely manner
Develop and initiate projects to improve the compliance operations within the firm
Build and maintain good relationships with local regulators
Understand the implication of any changes in regulations and make sure that firm rules are still compliment with the current regulations
Previous experience in Compliance ideally within a financial institution
Working knowledge of the legal culture and regulations within a bank
Will challenge and ask questions, and report relevant information accordingly
Have excellent communication and interpersonal skills
Team leader, can motivate and co-ordinate those around them
Analytical and proven problem solving skill set

Regulatory Capital Middle Office Resume Examples & Samples

Liaise with RCMO teams across various locations
Partner with Enterprise Ref Data teams
Ensuring accuracy on performing BAU related activities / tasks and non disclosure of client information by preserving client confidentiality
Active participation in process improvements and automation/enhancements to current activities / tasks
Participate in UAT (user acceptance testing) on enhancements and changes to Basel systems; including analyzing the impact of enhancements on RWA/Reg Capital
Maintain essential business, client and corporate data in RCMO systems to facilitate accurate reporting
Bachelors degree in Finance / Business
Minimum of 3 to 24 months of work experience, preferably in financial services industry
Advanced Excel skills (i.e. pivots, Vlookups, charts, macros, etc.) and MS PowerPoint preferred Strong communication skills Excellent inter-personal skills
Positive “can do” approach Good analytical skills and an eye for detail
Controls Focused Good team player with flexible attitude towards working hours due to the demands of the working place
Accurate and self-motivated with good problem solving skills and project management skills
Good intellectual capacity for process improvements

Corporate Risk-regulatory Capital Middle Office Resume Examples & Samples

Liaise with RCMO teams across Risk stripes (Market, Wholesale Credit, etc) and various locations
Partner with Enterprise Ref Data and Risk Data teams
Researching on any queries/ requests sent by the Business Partners/Counterparts and replying to the same within minimum response time
Lead process improvements and automation/enhancements to current activities / tasks
Produce monthly metrics on these requests
Participate in UAT (user acceptance testing) on enhancements and changes to Basel systems; including analyzing the impact of enhancements on RWA/Reg Capital
Maintain essential business, client and corporate data in RCMO systems to facilitate accurate reporting
Minimum of 5 to 7 years of work experience, preferably in financial services industry
Strong knowledge of Regulatory Capital or Risk Management practices
Deep operational experience and mindset
Highly organized with ability to consolidate and analyze data received from multiple reports
Advanced analytical and problem solving skills with the ability to understand business and technical functions, process information quickly and assess impacts
Strong communication (oral and written) skills working to collaborate and build relationships with team members
Positive “can do” approach Good analytical skills and an eye for detail
Controls focused team player with flexible attitude towards working hours due to the demands of the working place
Accurate and self-motivated with good problem solving skills and project management skills

CIB Ops-equities Middle Office Regulatory Control Resume Examples & Samples

Good analytical skills, problem solving & process re-engineering skills
Investigative mindset, able to see issues at both a high-level and in detail
Excellent communication and interpersonal skills, ability to develop strong working
Relationships
Ability to multi-task and work under pressure and with minimal guidance on day-to
Day tasks
Highly motivated, energetic self-starter who takes ownership
Detail oriented, good organizational skills – manages & prioritizes tasks across
Different time horizons within deadlines
Familiarity with Microsoft Core applications (Excel, Word and Powerpoint)
Strong securities, derivatives, and trade lifecycle knowledge a plus
Project management skills a plus

Regulatory Middle Office Product Control Manager Resume Examples & Samples

Proven ability to maintain the integrity of the financial function, by creating and adapting proper controls
Strong project management skills, as well as ad hoc analysis and presentations for senior management
Possess successful track record as team leader and collaborator with solid interpersonal and communication skills
Proficient in Microsoft Office: Excel, PowerPoint

Technology Operational Risk Office Emerging Risk Regulatory Mgmt Specialist Resume Examples & Samples

15+ years experience in technology and oversight with financial services experience required
Ability to collate data from multiple groups very quickly
Ability to understand regulatory syntax and synthesize the corresponding risks and controls and recommend adjustments if required
Excellent analytical and problem-solving skills, inquisitive nature and comfort challenging current practices
Adept at developing relationships with senior business executives with a reputation for partnering across organization lines to mitigate risks
Strong organizational, project management, and multi-tasking skills with demonstrated ability to manage expectations and deliver results
High level of professionalism, self-motivation, and sense of urgency

Regulatory Reporting Middle Office Control Analyst GFX AVP Resume Examples & Samples

Produce and/or validate for accuracy daily, weekly or monthly regulatory reports
Timely investigation and resolution of exceptions generated during the reporting process/ cycle
Develop recommendations for process control improvements
Knowledge of the FX Business, particularly the products & operation flows
At least four years of business experience in Investment Banking Operations, preferably working within the derivatives business
Flexibility and ability to learn quickly
Strong control mind-set is essential
Project management experience and/or six sigma qualification useful
Technical / IT understanding of how systems deliver regulatory reports is desirable

Regulatory Middle Office Controls Analyst Fixed Income & Exchange Traded Derivatives Resume Examples & Samples

The ideal candidate will have a very strong understanding of the front office as well as operational environment within an investment bank or broker dealer supporting various product lines such as fixed income and exchange traded derivatives
Experience with testing of controls and making sure they pass current rules and regulations is a big plus. In addition, an ability to fully utilize Excel, Power Point, Bloomberg and database applications as well as having very strong writing and presentation skills are key requirements for this role
Influence Front Office and Operations practices to ensure accurate and timely regulatory reporting
Communicate with the Subject Matter Experts within the different areas and deliver process maps and workflows to demonstrate understanding of regional peculiarities
Gather and analyze data
Maintaining files and reporting requirements
Maintaining Databases
Understanding of regulatory environment within a Broker Dealer or Bank and how these regulations impact Operational work flows (primary regulators – FINRA/CME/CFTC)
Excellent people and negotiation skills
Proficient with Excel, Power Point, and Bloomberg
Broad based knowledge of various products helpful (Fixed Income and Exchange Traded Derivatives)
10 + years of experience in related roles

VP NY Regulatory Middle Office Manager Resume Examples & Samples

While the role is within the broader Ops Control Office team, there will be need for self motivation and working without direct supervision. This role has one direct report: NY Head of Regulatory Middle Office – Goldie Chan
Previous experience managing small teams and projects
Educated with a Bachelor degree level and have a minimum of 5years experience within Operations
Experience with Trade Regulatory Reporting and/or Controls and Risks. The role requires an in depth knowledge of Regulatory Control and Risk Frameworks applicable to GM Operations
Experience with Trade/Transaction Reporting obligations like OATS, ACT, TRACE, LTR, LOPR, etc
Quality Assurance programs around Trade and Transaction Reporting is beneficial
IT experience helpful
Experience working on Cross functional projects a plus

Regulatory Reporting Middle Office Control Analyst Equities AVP Resume Examples & Samples

The ideal candidate will have an understanding of the operational environment in a bank or broker dealer supporting various product lines such as fixed income, derivative, equity, futures and money markets
Experience with testing of controls, such as past audit experience, is a plus. In addition, an ability to fully utilize Excel, Power Point, and database applications as well as having very strong writing skills are key requirements for this role
Proactively assist the business, operations, compliance, and IT partners in understanding the impact of business initiatives on regulatory reporting
Analyze daily, weekly and monthly reporting metrics to identify trends and areas for improvement
Maintain a strong focus on streamlining inefficient processes
Talk to the SME on the ground within the different areas and deliver process maps and workflows to demonstrate understanding of regional peculiarities
This position will have decision making responsibility to the extent that it impacts the task at hand and in helping to design agreed upon deliverables. The Regulatory Middle Office Controls operating model has Global alignment and regional characteristic which are centrally managed to ensure coordination and consistency in delivery
Knowledge of DFA and Canada Trade Reporting is an advantage
Knowledge of the Equities \ Fixed Income Business, particularly the products & operation flows
Strong analytical skills is essential
Ability to give presentations would be a benefit

Technology Operational Risk Office Emerging Risk Regulatory Lead Resume Examples & Samples

Direct interaction and leadership for engaging US regulators on proposed and pending regulation, as well as, advisory to US government groups on risk based position on emerging technology
US based technology related regulatory proposals and responses - Create a single written source for responding to upcoming regulatory activities that JPMC is providing either direct or indirect perspective on. In some cases this will be done jointly with other groups in JPMC and in other it will be risk management providing direct commentary
Impact assessment of emerging technology regulatory activities coordinating with LOB, regional and functional areas – Technology ORO operates in a strong collaborative environment that requires LOB ,regionally and functionally aligned risk personnel to represent a single common risk view to their specific areas while participating in the global firmwide position
Relationship management of group technology government affairs key US personnel - JPMC group technology has a specific organization that centers their focus on dealing with various government entities providing a consistent face and position. This position will work with that group closely and maintain a reliable partnership with this organization
Governance Forums- Participate in key governance forums
Regulatory industry group participation
Be single lead for developing and communicating a single cohesive position that can inform risk senior management as well as other areas of the bank on US regulation
15+ years experience in technology and oversight with financial services experience required. Knowledge of the JPMC technical environment and standards is advantageous
Strong communicator in both written and verbal forms
Proven record of working directly with government entities and regulators
Ability to create a new discipline from the ground up
Understanding of technology risk management and control principles
Confidence to take ideas forward and to challenge others, where appropriate
Bachelor’s Degree in Computer science, Political Science, Business or related field; post graduate degree a plus
Highly disciplined, able to work with limited supervision and make independent decisions with a track record of leading by influence

Control Office Regulatory Group Lead Resume Examples & Samples

Work with CCO leadership and peers to improve the oversight of the regulatory and policy control framework by creating an E2E lens for assessment and remediation
Oversee the effective and timely implementation of specific Group policies and development of related standards including identification/approval of applicable dispensation, waivers and/or breaches
Assist in the development and embedding of the ERMF and any related programs and projects
Conduct control reporting which evidences, monitors, and tracks key 1LOD regulatory compliance risks
Participate in monthly control business reviews with key stakeholders to ensure regulatory and policy risks, issues and required remedial actions are understood and agreed to by the business owners
Develop relationships with key stakeholders to ensure 1LOD regulatory compliance controls are embedded effectively across the BCUS businesses and synergies are leveraged where applicable
Oversee the remediation efforts relating to material control issues related to the E2E compliance assessment programs
Work with the 2LoD/3LOD functions (Compliance, Audit, Legal, Operational Risk, etc.) to understand applicable policy interpretation on how to operate in control
Ensure engagement in Barclays Internal Audits at the direction of CCO leadership
5+ years working in the credit card or similar industry
5+ years Control, Compliance, Audit or Operational Risk experience
Proven understanding of control, regulatory, and operational risks in banking environments
Demonstrated working knowledge of US Consumer Protection and/or AML Regulations
Experience performing operational/regulatory risk assessments, testing, etc
Ability to analyze control effectiveness data to determine actions/identify trends
Demonstrated ability to develop detailed plans and deliver results
Highly organized and manages to deadlines
Ability to manage multiple and competing priorities and to manage up where appropriate
Demonstrated ability to work effectively in global organization
Excellent communication and business writing skills (both written and verbal)
Working knowledge of Word, Excel, PowerPoint, etc
Relevant professional certifications: CRCM or CAMS
Understanding of applicable Barclays policies and standards
Experience communicating technical compliance information to non-technical audiences

Regulatory Middle Office AVP Resume Examples & Samples

Develop robust control processes and procedures for any new requirements to ensure appropriate processes are in place across asset. Continuously seek to improve and achieve best practice standardisation, in conjunction with stakeholders at all levels of seniority
BA/BS
Product Knowledge: Regulatory, or Derivative Knowledge preferred from at least one asset class
Communication: Excellent communication skills (verbal, written, presentation) and ability to liaise with large global multi-function departments
Experience: Extensive years previous experience preferred (either in regulatory role, or leading a team)
Organization: Strong organization and multi-tasking skills. Flexibility to handle multiple tasks and changing priorities along with a desire to work in a fast paced environment under tight deadlines
Analytical: Strong analytical and problem solving skills
Interpersonal: Strong interpersonal skills; develop relationships both internally and externally to collaborate effectively. Ability to Lead and influence multiple individuals who do not directly work for you
Technical Skills: Advanced knowledge of Power Point, Excel and Visio preferred

Front Office Modeling Infrastructure & Regulatory Affairs Strategist Resume Examples & Samples

Build cutting edge tools for understanding the risk of (mostly exotics) equity derivatives products
Review and create documentation for the front office models and correct potential problems
As part of the front office team, Regulatory Strategists have ownership of the pricing library. While it is not their primary responsibility, Regulatory Strategists can amend and improve the pricing models when required
Conduct analysis of complex trade to assess the best pricing method
Strong drive and desire to work in an intense team-oriented environment
Ability to communicate effectively in both written and verbal English
An advanced degree in a quantitative subject such as Engineering, Applied Mathematics, Physics, Software Engineering
Programming skills, ideally in an object oriented language (C++/Java), but for the right candidate generic coding experience (R/Python/Perl) could work
Good knowledge of Probability, Numerical Analysis, Stochastic Calculus, Approximation theory, Partial Differential Equation and an expertise in either of these subjects

Analyst Office of Regulatory Affairs Regulatory Policy Development Resume Examples & Samples

Fresh graduates preferably from Law Faculty
Strong interpersonal leadership and communication skills (both oral and written)
Outstanding ability to analyze problems, identify key dimensions of a problem and propose solution
Results-orientation – takes initiative to identify areas to add value and executes quickly and accurately
Excellent project management skills and attention to detail, ability to prioritize issues and manage competing tasks
Analytical and data management skills
Intermediate to advanced MS Excel, Word and PowerPoint skills

Senior Manager, Basel & GRM Regulatory Office Resume Examples & Samples

5+ years experience preferably in risk management or banking, related policy and process teams
Solid knowledge of OSFI's CAR Guidelines, risk management policies and procedures
Strong analytical and attention to detail skills
Excellent communication, interpersonal and relationship-building skills
As the department's activities are influenced by regulation, legislation and internal Bank policy, the planning aspect of the position is both challenging and critical
In all these instances, significant reliance is placed on the incumbent to communicate complex issues effectively and constructively to senior management of business lines
Coordinate Ongoing Compliance activities to support the CRO Attestation and confirm that the existing inventory of OSFI AIRB and capital models continue to adhere to all applicable minimum requirements
Provide oversight for self-assessment and gap closure process for new capital model applications and material model modification applications, ensuring that projects are executed in accordance with plans, ensuring that key issues are identified and escalated for resolution, interdependencies between projects are identified and agreed, and critical paths identified and tracked
Coordinate the compilation of OSFI's quarterly model modification reporting requirements
Maintain a current understanding of global regulatory expectations for the Basel Capital Framework, industry practices, the Bank's business and regulatory frameworks including the Basel Framework and related regulatory expectations
Identify any required changes to policies, business process, and system requirements for risk management to meet OSFI's CAR Guidelines
Provide reporting on BCBS and OSFI capital related issuances, open issues, and planned and ongoing project status updates to the Capital Oversight Steering Committee and Senior Executive Management
Liaise with responsible parties to ensure that documentation is developed during the course of any project work to support the closure of gaps between regulatory expectations and current practice
Coordinate with Model Development, Validation and Internal Audit to ensure that documentation is complete and sufficient to meet expectations in supporting an opinion of compliance with the CAR Guidelines requirements
Respond to ad hoc enquiries by providing expert guidance to business groups to ensure that the interpretation of policies, standards and processes are consistent relative to the Bank's business and regulatory frameworks including the Basel Framework and related regulatory expectations

Regulatory Advisory Office, VP Resume Examples & Samples

End-to-end regulatory exam management, including JFSA and BOJ
Proactive open issue tracking (MRA/MRIAs) and issue escalation
Regulatory change management and reach-out Manage annual roll-up of MUFG and BTMU by primary regulators
Communicate continuously with Tokyo HO stakeholders, including but not limited to BTMU
Global Planning Division and MUFG Government and Regulatory Affairs Office Manage and coordinate senior executive communications with regulators
Proven track record in regulatory relations
At least 5-7 years’ experience in diverse business roles – e.g., revenue generating roles, program management, audit/compliance, managing staff functions
Detail oriented and well organized

Deputy Head Office of Regulatory Project Resume Examples & Samples

Management of the OPER/REG PJT and OPER/REG PRD teams,
OPER/REG staff plan follow-up / budgets
Follow-up of SGIL regulatory projects,
Communication with the top management and the other departments,
Advise the project managers if needed,
Intervene in case of problem for a project
Ensure an efficient change management,
Set an efficient governance per project and ensure the coordination of the team,
Develop professional relationships with sponsors and with all the stakeholders
Participate in human development (objectives, appraisals …)
Operational experience in Capital Markets support functions
Regulatory constraints

CIB Office of Regulatory Affairs VP Resume Examples & Samples

Lead the day-to-day running of the UK Management Committee
Assist with regional governance planning and review particularly in light of regulatory expectations as we consider the impact of Brexit and other relevant regulatory changes
Provide assistance with addressing regulatory demands (whether policy-driven or supervisory-driven) in a consistent and coherent way, as well as identifying demands on the firm within EMEA
Governance: Working with the regional governance team within ORA and the Office of the Secretary, ensure relevant regulatory issues are escalated and communicated effectively to senior governance forums, including legal entity boards and regional management committees Day to day support of the UK Management Committee and supporting secretariat processes, including
Strong fluency in either of prudential or conduct regulation, with sound familiarity with the other
Ease working across a range of complex issues; ability to learn new topics quickly, courage to ask questions
Ability to effectively engage with senior leaders around the firm
Ability to work both as an individual as well as a team contributor; self motivated with attention to detail
Ability to clearly communicate and present information both orally and in writing

Clinical Research Regulatory Coord Ii Cancer Center Protocol Office Resume Examples & Samples

Schedule and facilitate pre-activation activities including pre-site qualification visits, SIVs, and facility tours
Complete feasibility questionnaires for upcoming studies
Assist in start-up and implementation activities for new studies

Regulatory Affairs Office Coordinator Resume Examples & Samples

Engage with Business Unit and other key stakeholders to monitor open issues (MRA/MRIAs), remediation activities and key milestones, and issue escalation
Communicate with Tokyo HO stakeholders, including, but not limited to, BTMU Global Planning Division and MUFG Government and Regulatory Affairs Office Manage
Background in regulatory relations and knowledge of heightened regulatory environment
Strong work ethic, ability to make decisions, and work under tight deadlines

Regulatory Middle Office Control Analyst Resume Examples & Samples

Develop and maintain strong working relationships with key stakeholders
Identify key areas of risk in the reporting process and influence development of control framework
Manage maintenance of procedures and other documents relating to the team
Maintain strong risk management within the daily production process
Be able to understand and explain the technical infrastructure that supports regulatory reporting and suggest improvements
Utilize knowledge of the GTR reports to enable new and usable controls to be developed
Knowledge of the Fixed Income Business, particularly the products & operation flows
Proactive self-starting individual

Regulatory Middle Office Control Analyst Resume Examples & Samples

Monitor daily processes for creation and submission of regulatory reports
Design and build Quality Assurance tests to evidence complete and accurate regulatory reporting
Recognize key areas of risks in the regulatory reporting process and develop recommendations for process controls improvements
Following up on open items and deliverables with stakeholders
Project tracking and updating
Create Management Information Packs via Power Point presentations
This position will have limited decision making responsibility to the extent that it impacts the task at hand and in helping to design agreed upon deliverables. The Regulatory Middle Office Control’s operating model has Global alignment and regional characteristic which are centrally managed to ensure coordination and consistency in delivery
Bachelor's degree required, Master’s is a Plus
Experience in an Operational or Regulatory Reporting function highly desirable
Understanding of regulatory environment within a Broker Dealer or Bank and how these regulations impact Operational work flows (primary regulators – FINRA/SEC)
Proficient with Excel and Power Point
Broad based knowledge of various products helpful (Cash Equities, Options)
5 + years of experience in related roles preferred