Regulatory Resume Samples
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Regulatory Resume Samples
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KS
K Schneider
Karlie
Schneider
46067 Zelda Well
Detroit
MI
+1 (555) 299 6012
46067 Zelda Well
Detroit
MI
Phone
p
+1 (555) 299 6012
Experience
Experience
Chicago, IL
Regulatory
Chicago, IL
Schumm, Bailey and Langworth
Chicago, IL
Regulatory
- Learning, creating, developing and utilizing new database tools
- Verifying remediation concepts for critical and systemic issues and monitoring their execution according to the plan and standards
- Developing recommendations
- Collecting and analyzing data
- Providing subject matter expertise to CIO areas in managing commercial and vendor risk management
- Analyzing public comments and writing comment summaries on controversial projects
- Developing and carrying out CTO related VRM transaction reviews
Chicago, IL
Regulatory Accountant
Chicago, IL
Hudson Inc
Chicago, IL
Regulatory Accountant
- Initiating approved payments and monitoring and reconciling the associated accounting entries necessary in the purchase of lease crude
- Reporting to the Regulatory Reporting Manager, but working very closely across the finances team and with group Compliance
- Working with agency contacts to research and answer questions regarding payments and reporting
- Assist in the testing and implementation of projects which affect the wider Regulatory Reporting team
- Finalise implementation of AIFMD, particularly embedding how we work with a Depositary and our reporting
- Responsible for editing and filing of Regulatory, Severance Tax, and governmental royalty reports
- Working with the team to ensure that the archiving of team documents is periodically carried out
present
Phoenix, AZ
Regulatory Product Specialist
Phoenix, AZ
Ullrich-Brown
present
Phoenix, AZ
Regulatory Product Specialist
present
- Working on product safety related incidents, including leading root cause investigations
- Supporting customers on product safety related inquiries
- Conducting self-assessments to periodically review Product Stewardship processes, procedures, and tools and use the results to drive continuous improvement
- Developing and delivering training to employees whose responsibilities impact or are impacted by Product Stewardship processes and/or systems
- Think 'outside the box' to implement tactical and strategic solutions to the problems identified
- Working with logistics, manufacturing/operations, sales and marketing, Legal, EH&S, and R&D to integrate product compliance and risk management controls for a business line through each stage of the product development process as well as on-going commercial product support
- Global SDS management, which may include authoring, and managing third party SDS suppliers
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Virginia Commonwealth University
Bachelor’s Degree in Accounting
Skills
Skills
- Strong oral and written communication skills
- Excellent verbal, interpersonal and written communication skills
- Strong analytical, problem-solving and decision making capabilities
- Team player with the ability to work in a fast-paced environment
- Ability to draft project proposals
- Strong analytical and organizational skills
- Ability to prioritize and work on multiple projects under strict deadlines in a fast-paced environment
- Excellent written, oral, and interpersonal communications skills
- Strong quantitative and quantitative skills
- Advanced Microsoft Office skills with the capability of importing data from an alternative application to a desired application for management presentations: charts, time series, etc
15 Regulatory resume templates
Read our complete resume writing guides
1
Emeia FSO Regulatory Executive Managed Services Resume Examples & Samples
- Create innovative and proportionate insights for our clients, adapting methods and practices to fit their business needs
- Assist with the mobilisation of project teams and design of the processes to be followed
- Fulfil quality control, and team lead, roles to ensure members of the team complete their work to expected quality standards
- Assist in preparing reports and outputs that will be delivered to clients and other parties
- Support bids and proposals for new projects and client opportunities
- Grow valued relationships with external clients and industry contacts
- Assist with the formulation of conclusions and regulatory recommendations
- Functional knowledge of the UK and European regulatory environment (with knowledge of the global environment an advantage)
- Strong analytical and problem solving skills, with the ability to present information in a clear and concise manner
- Experience of leading small teams and development of staff within team
- Regulatory compliance experience / professional qualification preferred
- Experience of working with Regulatory bodies such as the FCA/FSA, FSCS or Financial Ombudsman Service
- Sound technical knowledge of financial products and / or customer-facing regulated activities (eg: Anti-Money Laundering, Know Your Client, FATCA and Suitability Reviews)
2
Regulatory Thresholds Analyst Resume Examples & Samples
- Identifying and reporting holdings that have reached prescribed thresholds
- Detailed review of our system reports of shareholdings against trade movements,
- Making necessary disclosures in an accurate and timely manner
- Maintaining clear records of all filings and communications
- Helping with projects relating to this function, improving automation and controls
- Supporting colleagues with internal and external queries relating to shareholdings
- Maintaining documented procedures
- Experience of regulatory shareholding disclosures is a preference, but not a necessity
- Experience of working in the investment management industry is a preference, or secondly on Investment Banking, and experience of equity based investment products
- Good IT Skills, including good knowledge of Excel, experience with large systems
- Strong academics, with a background in finance or similar fields
3
GWM Credit Risk Policy & Regulatory VP / ED Resume Examples & Samples
- Experience in Credit Risk Management, Credit Risk Analysis, and their intersections with managing the credit risk portfolio. Candidate would have 5-10 years experience
- Ability to partner effectively with Front Office, Middle Office and across Wholesale Bank teams to achieve shared goals
- Ability to take initiative and work independently
4
CIB Market Risk Regulatory & Policy Resume Examples & Samples
- Manage various regulatory initiatives across the CIB Rates and FX Market Risk teams and partner teams across the firm
- Strong project management skills; ability to gain consensus among staff and drive initiatives to completion effectively
- Experience with regulatory interaction and ability to handle requests and discuss issues with regulators; familiarity with regulatory rules pertaining to risk a plus
- Market risk or other risk management experience; Rates and FX product knowledge preferred
5
CIB F&bm-regulatory Policy Resume Examples & Samples
- Policy Interpretation – Provide policy interpretation of current regulatory framework and advice to key stakeholders across various Regulatory Finance functions, business lines and the wider organisation
- Advocacy – Review upcoming changes to the prudential regulatory regime, determining the impact on JPM’s UK and other EMEA operations, and engaging with Group to determine JPM’s stance on such developments. Thereafter, work with Government Relations and industry bodies to provide feedback to policy-makers through the various stages of the rule making process
- New Business Initiatives and Complex Deals – determining the policy and, in conjunction with the Capital Management Team, capital implications of new business initiatives and complex deals. Work with the business to generate optimal regulatory solution for implementation
6
Commercial Bank-risk Control & Regulatory Senior Manager Resume Examples & Samples
- MBA or professional certification preferred
- 10 plus years experience in Audit, Compliance, Operational Risk or Risk Management, including experience in a leadership capacity
- Familiarity with key Financial Institution regulations preferred
- Understanding of fundamentals of risk and control assessment and control testing activities
- Ability to handle multiple priorities and produce successful results
- Act with sense of urgency and prioritize successfully
7
Regulatory Program Implementation Resume Examples & Samples
- Partner with Legal, Compliance & Risk to identify and address areas of risk & regulatory exposure across multiple asset classes
- Develop and support project plans including updates for management
- Build detailed knowledge of front office/ middle/back-office process flows and trading system, understand how the process works today and creatively think about ways to improve the process given the current regulatory environment
- Creation of process flows, business requirements, and status reporting for various workstreams across the program
8
International Product & Change Management Regulatory Focus Resume Examples & Samples
- Developing end-to-end operating model that works toward regional and global consistency
- 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
- Partner with Legal, Compliance & Risk to identify and address areas of risk & regulatory exposure
- Develop and support project plans though strategy development, project definition, and implementation
- Build detailed knowledge of front office/ middle/back-office process flows and trading systems
- Ideally 8 years of relevant 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 English language written and verbal communication and an ability to articulate complex ideas, concepts and solutions
- Ability to manage complexity, multi task, juggle multiple projects and deliver solutions to a tight deadline
- Be a team player who is easy to work with, shows commitment and dedication
9
Gwm-regulatory Training Resume Examples & Samples
- Partneringwith senior management and cross-functional teams (e.g. front office, product,technology, operations, legal/risk/compliance) to assess current businessprocesses and determine improvements
- Identifyingweaknesses, gaps and opportunities for improvement and reporting the findingsin a simple, compelling way to influence the business to transform andchange the status quo
- Recommendingimprovements across all aspects of an operating model - redesign oforganizational structure, process efficiencies and technology enhancement
- Understandingbusiness requirements and prioritizing change requests
- Performinguser acceptance testing of newly built processes and solutions and guiding enduser
- Promotingand monitoring adoption of new solutions and business processespost-implementation
- Workingcollaboratively with team members and cross-functional groups
- Partneron end-to-end implementation projects including project management, executionand evaluation
- Prioritizealternative solutions, drive results and influence senior leaders in a crossfunctional, diverse environment
- Influencesenior leaders and the business in a cross functional, diverseenvironment to transform and change status quo
- Workindependently, and know when to ask for guidance
- Developand translate quantitative analysis into strategy
- Effectivelycreate and present oral and written communication
- Developrelationships and build a network throughout the firm
- Maintain a positive attitude and act as teamplayer while delivering on high priority, time sensitive initiatives
- 4-7years of experience in strategic consulting, management consulting, projectmanagement, process improvement
- Bachelor’s degree or equivalent work experience requiredminimum of 5 years experience in project management and training (design ordevelopment)
- Strong project management, organizational, timemanagement, and prioritization skills
- Proven ability to work effectively on multiple projects ina fast moving, deadline-driven environment
- Able to work independently as well as collaborativelyExcellent interpersonal, written, and verbal communication skills with alllevels of leadership Proficiency in MS Office Suite, with emphasis on Word,PowerPoint, Excel, Adobe Captivate
10
Product & Change Management Regulatory Focused Resume Examples & Samples
- Experience in Private Banking, Asset Management or Investment Banking industry with experience with project management
- Proven track record of delivering projects, complex product and/or new business initiatives
- Ability to engage with various parties to discuss implications of new regulatory requirements and business impact
- Bachelor’s degree from an accredited, high quality institution is required
- Have an entrepreneurial mindset with the ability to think on their feet and be able to apply critical thinking and logical/structured framework to situations such as business case development and issue resolution
- Project management experience to execute structure, process and client-focus
- Strong interpersonal skills, comfort in working with different audiences
- Excellent English language written and verbal communication and an ability to articulate complex ideas, concepts and solutions at a level appropriate and intelligible to the recipient. Strong preference for multiple languages
- Thinking competencies – strategic, conceptual, analytical
- Ability to develop effective partnerships with key business partners, including the various Product and Asset Class owners, Business Management teams, Finance, Legal, Compliance, Tax, Risk and various operations groups globally
- Strong organizational and prioritization skills. Detail oriented
- Strong knowledge of Microsoft Office including Excel, PowerPoint, SharePoint and Visio. Experience in process flow analysis/mapping
- Be a team player who is easy to work with, shows commitment and dedication, and can maintain both a positive attitude and high level of performance on high demand/time-sensitive initiatives
11
VP Regulatory Project Management Team-product & Platform Team-private Bank-geneva Resume Examples & Samples
- 8/10 yearsexperience in Private Banking, Asset Management or Investment Banking industry with a proven track record of managing and delivering change within a large, highly complex, cross-functional environment
- 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. This should include the product offering, operating model, technology and business support infrastructure
- Credibility and proven ability to engage with regional business heads to discuss implications of new regulatory requirements from a business perspective
- Excellence in project management disciplines and an ability to instill structure, process, accountability, delivery and client-focus
- Ability to develop effective partnerships with key business partners, including the various Product and Asset Class owners, Business Management teams, Finance, Legal, Compliance, Tax, Risk and various operations groups globally
12
Regulatory Policy & Assurance Senior Manager Resume Examples & Samples
- Monitor and communicate regulatory developments (Basel, EU and PRA) to identify risks and themes e.g. Basel III and CRD4
- Act upon and respond to any regulatory framework queries from senior management, Front Office and related functional departments e.g. Risk and Corporate Treasury
- Participate in industry (BBA, AFME) discussions regarding regulatory change
- Liaise with international colleagues to ensure consistency of approach globally
- Report to senior management, business and support groups on regulatory impact of business initiatives and developments such as new business committee initiatives or preparing ALCO papers to be tabled
- Co-ordinate regulatory reports to Boards, control committees and other governance forums
- Quantify capital impact of initiatives for line reporting
- Training and development for Capital Reporting team
- Co-coordinating, directing and participating in assurance work covering all capital related returns
- Managerial responsibility for 1 team member
- Investment Banking firm experience and in-depth knowledge of FSA rules and regulatory requirements
- Up to date knowledge of the various regulatory framework changes at the global, European and national UK level
- Have undertaken or is currently in a similar role at a peer firm, either from industry or the accounting practice
- Accounting qualifications (ACA/CIMA/ACCA)
13
Project Manager of Risk Regulatory Resume Examples & Samples
- At the minimum must have a Bachelor's degree
- 5+ years of project management experience within financial services is a MUST utilizing the following tools: MS Project, Visio, and Agile are preferred
- 5+ years of experience working with consumer data in the following lines of business: mortgages, home equity, credit cards, auto/personal loans
- 2+ years of experience in risk regulatory within CCAR & BASEL domain is a MUST
- Must have strong: communication, collaborative, and project management skills
- Individual contributor role and will transfer existing H1 Visa Recruiter: Sunil Sud
14
IT Risk Regulatory Engagement Manager Resume Examples & Samples
- Establish and drive a consistent review and communications process with global regulators reviewing technology risks and controls, collaborating with the firm's global Compliance organization
- Promote consistent and appropriate levels of communication with the firm’s external customers who seek information on the IT Risk and Security Management programs, policies, and standards
- Support the firm’s Sarbanes-Oxley (SOX) testing programs for IT General Controls
- Manage IT risk projects as needed
- 7-10 years relevant IT risk management experience, preferably with a global financial services institution
- At least one year's experience in conducting or managing a regulatory review
- Experience working with regulators in the United States and other locations
- Experienced in direct communications (written and oral) with regulators
- Experience in communicating (written or oral) IT risk policies, standards, and practices with external clients and customers
- Sarbanes-Oxley (SOX) IT General Controls testing and test development is a plus
15
Futures Commission Merchant Regulatory Executive Director Resume Examples & Samples
- Work with OTC and Listed Derivatives Operations team to ensure daily calculation and filing of segregated amount, total asset on segregated deposits and residual interest are accurate and in compliance with Written Supervisory Procedures (WSP)
- Provide oversight on LSOC Reconciliation and Reporting
- Ensure WSP are updated and provide effective controls to achieve compliance with legal and regulatory requirements
- Provide strategic input in order to shape and define efficient operating model which can support the process
- Communicate effectively with compliance to ensure current and new rules changes, laws and regulations are mapped appropriately and interpreted to support the development and enhancements of policies and procedures
- Continually assess functions in terms of efficiency, adapting processes to increase effective implementation
- Be the go-to person for queries from the business on any processing issues, escalating to management and compliance where necessary. Work to reduce risk on every level
- Perform Risk assessments on functions performed by the team, ensure risks and control points are well documented and escalated
- Support the regulatory reporting strategy project
- Assist with the population of the Governance Deck and meeting minutes
- Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for operations regulatory advice and interact with regulators as needed to provide information and responses
- Develop and maintain effective partnerships with all stakeholders on regulatory related issues
- Manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the bank
- Support the development of programs and execute reviews on operational controls and the effectiveness of meeting operational regulatory expectations
- Support systemic process and programs developed to address regulatory requirements
- Identify and contribute to operational risk projects related to strategic business initiatives
- An undergraduate degree in business, finance, other related fields
- Candidate ideally needs to have strong knowledge of OTC Clearing and Futures product knowledge
- A general awareness and experience of the impact of Regulatory reforms and how these reforms will impact the Industry
- 8 years of related experience in the banking industry, compliance or regulatory
- Material experience with operational risk disciplines; processes, risks and controls and familiarity with accounting systems/processes
- Highly motivated individual with outstanding record of professional achievement
- Legal, Business, Accounting or Finance related postgraduate degree desired
- Prior experience in a federal regulatory agency with experience in operational risk, modeling or information technology, or legal experience on a broad array of regulatory operations issues
- Strong computer skills in excel, word and power point
16
Regulatory Liquidity Management Officer Resume Examples & Samples
- Ownership of production and any strategic initiatives to meet regulatory requirements with respect to Liquidity, with a focus on the LCR and NSFR
- Develop and manage initiatives, such as IT projects and resource deployment, that would enable Corporate Treasury to achieve its strategic goals related to the LCR and NSFR, partnering with the various areas of Treasury, as well as the Treasury Control group, Operations, IT and any business partners
- Act as liaison with regulators for any Liquidity discussions, data requests and exams
- Provide Business Unit coverage and analysis regarding the impact of regulatory requirements on business activities and vice versa, with an eye toward optimization of the use of the Firm’s liquidity resources
- Monitor regulatory, market and other developments in the financial services industry specific to Liquidity in order to assess and advise management of any potential impacts
- Bachelor's degree, with 10+ years functional experience in Corporate Finance, preferably from a securities firm or large bank, with a particular focus in liquidity and funding
- Experience in relationship management, particularly with regulatory bodies
- Strong analytic capabilities, including ability to summarize complex business problems and detailed analysis with clarity and brevity in written and oral form
- Ability to develop rapport/credibility with diverse groups; must be comfortable interacting with and presenting to senior management
- Proven organizational and process management skills, with project management skills a plus
- Adept at working in a fast-paced, high-energy level environment
- Self-motivated with high personal standards for quality of work
- Proven track record of working productively in a team-oriented environment with competing priorities
- Proficient in Word, Excel and PowerPoint
17
Regulatory Exams Compliance Professional Resume Examples & Samples
- Manage and coordinate all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges
- Responsible for responding to requests for documents and information
- Communicate with regulators regarding document requests, areas of review, and potential findings
- Identify and analyze potential findings
- Communicate with senior management in LCD, business, and risk regarding exam status, potential findings, and remediation
- Draft formal responses to findings
- 3 - 5 years of experience handling regulatory examinations
- Experience dealing with external regulators and responding to regulatory requests
- Experience in the financial industry
- Experience with both institutional and retail business preferred
18
Regulatory Exams Compliance Officer Resume Examples & Samples
- Manage and coordinate all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges
- Responsible for responding to requests for documents and information
- Communicate with regulators regarding document requests, areas of review, and potential findings
- Identify and analyze potential findings
- Communicate with senior management in LCD, business, and risk regarding exam status, potential findings, and remediation
- Draft formal responses to findings
- 3 - 5 years of experience handling regulatory examinations
- Experience dealing with external regulators and responding to regulatory requests
- Experience in the financial industry
- Experience with both institutional and retail business preferred
19
Banking & Lending Regulatory VP Resume Examples & Samples
- Creating and conducting training to sales and supervisory personnel in the broker/dealer regarding banking products
- Working closely with the Legal and Risk Departments as well as the business unit
- Supervising and coordinating special projects as they relate to the compliance function. Past projects have included the review of mortgage sales and licensing of Financial Advisors throughout the US
- Knowledge of appropriate regulatory rules, including Reg B, Reg E, Reg T, Reg U, Reg W, Fair Lending and Anti- Tying
- Strong analytical and interpersonal skills, have the ability to interact will individuals at all levels to devise, implement, and enhance policies, procedures and surveillance tools
- Series 7, Series 63 or 66, Series 8 or Series 9 & 10 preferred
20
Regulatory Relationship Group Coordinator Resume Examples & Samples
- Coordinate and managing examination and continuous monitoring related events, including negotiating scope and timing of reviews and coordinating meetings with control functions and business unit personnel
- Collecting and producing requested documents related to regulatory examinations and continuous monitoring
- Providing guidance to Firm personnel in connection with regulatory examinations and continuous monitoring conducted by Bank Regulators
- Attending and monitoring all examination related meetings, and tracking and coordinating responses to follow-up requests
- Providing guidance to Firm personnel on the drafting of examination response letters
- Maintaining a repository of all significant examination and continuous monitoring documentation
- Bachelor degree with a minimum 5 years banking experience from a regulatory organization such as the FRB, OCC or CFPB or in a similar position in the financial services industry
- Critical dependency on strong oral and written communications skills
- Ability to work confidently and effectively with both regulatory staff as well as senior firm personnel globally
- Ability to work independently and under tight deadlines
21
Accounting & Regulatory Policy Professional Resume Examples & Samples
- Monitor emerging accounting and regulatory issues through the interaction with various industry groups, liaising with certain standard setters and regulatory bodies, and discussions with Company individuals
- Assist the business units/corporate functions in assessing the impact of evolving standards
- Interact with business units and corporate functions related to new transactions to identify accounting and regulatory issues
- Participate in training and publication efforts related to accounting and regulatory policies
- 5 – 7 years of experience with at least 4 years in public accounting
- B.S. in Accounting (or equivalent) and CPA are required
- Strong writing and oral communication skills
22
Accounting & Regulatory Policy Professional Resume Examples & Samples
- Monitor emerging accounting and regulatory capital issues through the interaction with various industry groups, liaising with certain standard setters and regulatory bodies, and discussions with Company individuals
- Apply U.S. GAAP and Federal Reserve regulatory capital rules to transactions and document accounting and regulatory analyses and conclusions
- B.S. in Accounting (or equivalent) and CPA a plus
- Knowledge of Federal Reserve regulatory capital requirements a plus
23
Regulatory Relations Manager Resume Examples & Samples
- Managing all regulatory deliverables ensuring the Firm responds to its regulators’ requests on time and provides consistently high-quality outputs
- Leading a number of regulatory-requested initiatives (e.g. large data requests) and co-ordinating input from across the Firm
- Briefing senior business unit and risk management on regulatory expectations
- Facilitating periodic supervisory activities (examinations, responses to thematic reviews, Proactive Engagement Meetings)
- Preparing weekly and other periodic Management Information for the Firm’s senior management
- Working closely with other stakeholders across LCD (in London, across EMEA offices and global counterparts in US and Asia)
- The candidate will manage one other staff member (VP level)
- Professional and articulate
- Excellent judgement
- Good communication skills; able to present complex matters succinctly to a range of audiences (both within Legal and Compliance department and across the Firm’s other Divisions)
- Strong interpersonal skills; working with staff and external stakeholders of all seniority
- Advanced presentation skills; ability to produce high quality written materials (e.g. presentations, briefing notes)
- Ability to remain focused under pressure
- Ability to perform multiple tasks simultaneously
- Ability to manage own workload and make risk-based prioritisation judgements
- Broad understanding of the FCA Handbooks and regulatory approach
- The ideal candidate will have a minimum 10 years’ experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or Compliance function
- Previous experience of managing regulatory relations required
24
Credit Risk Projects & Regulatory Oversight Analyst Resume Examples & Samples
- Manage CRM projects by ensuring on time delivery and the right level of quality
- Ensure key risks and issues are identified, documented, mitigated and communicated to the appropriate stakeholders in a timely manner
- Coordinate, monitor & report on regulatory exams, internal audits, credit reviews and remediation
- Interpret requests for information and coordinate meetings to develop materials responsive to such requests
- Assist in self-assessment projects within Credit related to Basel initiatives
- Assist in executing various projects related to regulatory requirements
- Contribute to the development of presentations for the Board, Risk Management Committees, Executive Management and the regulators
- Assist with co-ordination of regulatory submissions both regular & ad-hoc
- Solid understanding of Credit Risk Management including derivatives & Loan products
- Proven working experience within a financial institution or consultancy
- Ability and willingness to work under tight deadlines while maintaining commitment to achieving quality and accuracy & multi-task efficiently and effectively
- Ability to manage projects utilising industry standard project management practices
- Excellent interpersonal and communication skills. Capable of communicating clearly and concisely to various levels of audiences
- Strong analytical skills and experience in dealing with complex data sets
- Intermediate /Advanced PC skills in the following systems: PowerPoint, Excel, Share Point, Visio and Microsoft Project
25
Market Risk Regulatory Relations Resume Examples & Samples
- Track key metrics and prepare regular reports for senior management on the regulatory/internal audit findings
- Assist in managing projects to fulfill regulatory requirements
- Coordinate regulatory exams and internal audits, working closely with functional area managers
- Coordinate document production for regulatory exams including assisting in the preparation of presentation material
- Three years or more of banking experience in a large and complex financial institution
- Strong analytical thinking and problem solving skills
- Attention to detail and prioritization skills will be necessary in balancing daily deadlines with strategic objectives
- Proficiency in Excel and PowerPoint
- Prior knowledge of the financial services regulatory environment is a plus
26
Regulatory Lawyer Resume Examples & Samples
- Monitor developing reforms both in the UK and the European Union
- Play an active role (where appropriate) in influencing prospective regulation through participation in industry and other forums on behalf of the firm
- Take a lead role within Legal & Compliance in understanding and interpreting prospective and new regulations and assisting other professionals in the Legal and Compliance Department in assessing the impact of such changes on the firm’s business
- Articulate those changes to a variety of business units and firm management and assisting the firm in developing its strategic response to those changes
- Adopt a leading role in projects implementing the changes
- Interact with regulators and other agencies and policy makers in relation to such reforms
- Qualified lawyer or equivalent with solid experience at a law firm or major in-house legal department, with substantial UK or European financial services knowledge
- Experience may have been gained as a financial services regulatory lawyer or in a broad transactional role, preferably in sales and trading or capital markets
- Whilst not essential, a working knowledge of US regulatory reform initiatives could be helpful
- Excellent verbal and written communication skills are essential
- Strong team work skills are a must
27
Portfolio Compliance Regulatory Thresholds Associate Resume Examples & Samples
- Identifying holdings that are approaching prescribed pre-approval thresholds
- Communicating externally with Regulators, external firms and lawyers
- Communicating internally in a timely, accurate, and professional manner with relevant groups
- Keeping up to date with regulatory change and developments impacting the function
- Supporting and leading colleagues with internal and external queries relating to shareholdings
- Process, control, procedures and system enhancements
- General assistance with related tasks and projects as required
- Experience of regulatory shareholding disclosures
28
Finance Regulatory PMO Resume Examples & Samples
- Develop and track project plans including managing deliverables and dependencies across work-streams
- Report on the multiple programs simultaneously
- Budgeting and cost management of actual vs. plan
- Management of Managed Expenditure Requests (MER) for consultant on-boarding including invoice tracking for actuals vs. budget
- Facilitate testing management of the automation deliverables
- Facilitate decisions as they relate to risks, boundary issues, timelines, scope and resources
- Work closely with central Finance Change the Bank and Financial Holding Company teams to ensure their risk management and reporting deliverables are met
- 7 years of experience
- Developing and tracking project plans, as well as forecasting and tracking budget
- Prior experience with business related projects and software development a plus
- Testing management
- Strong organization skills and ability to manage multiple projects simultaneously
- Program reporting to senior management and central teams
- Ability to interact effectively with all levels of the organization
- Ability to work well under time constraints and with multiple projects
- Advanced Microsoft Office skills (PowerPoint, Excel, Access and Project)
- Experience with external regulatory filings (preferred)
29
Cib-f&bm Regulatory Finance Associate Resume Examples & Samples
- Preparation of the daily, monthly and quarterly PRA Liquidity returns for JP Morgan Securities Plc (JPMS Plc), JP Morgan Europe Limited (JPMEL), JPMorgan Markets Limited (JPMML) and JP Morgan International Bank (JPMIB)
- Reporting the Basel III EBA LCR and NSFR and building the global liquidity infrastructure (LRI)
- Daily monitoring of liquidity reporting requirement for all four legal entities within the Liquidity Firms group
- Interpretation of the Liquidity rules which form the basis of reporting and providing regulatory guidance to the business
- Supporting Treasury Teams and the business with other liquidity reporting requirements
- Prepare and review the new Basel 3 UK Liquidity reports, LCR and NSFR, for submission to the regulators, the EBA and PRA, including involvement in planning and developing the operating model for the new reporting
- Provide a level of oversight to existing daily UK Liquidity returns (EMR) prepared by the Mumbai Liquidity team and submitted to the PRA
- Support the delivery of an effective and efficient operating model for the UK Liquidity reporting team working closely with the Treasury team
- Work with the Reg Projects teams and other change management areas; assist business analysts with the preparation and review of business requirement documentation
- Provide appropriate internal MIS and KPIs to management to communicate regular status of reporting, production and projects
- Respond to ad hoc requests from senior management and other groups as required
- Maintain a robust control environment. Continuously seek opportunities to improve controls to ensure completeness and accuracy of reporting
- Self starter, motivated and able to work with minimal supervision
- Demonstrate strong analytical and problem solving skills
- Flexibility to work under pressure to meet changing work requirements and strict deadlines
- Part Qualified/Qualified Accountant
- Extensive discipline in data integrity, data reconciliation, controls and documentation - Essential
- Proficiency in Microsoft Office: MS Excel , MS Access, Outlook, Word and PowerPoint - Essential
- Background in liquidity (reporting, cash management or treasury) - Preferable
- Good understanding of the current UK prudential regime, including CRD and PRA/FCA - Preferable
- Proficiency in Business Objects and other query tools (Microsoft Access) - Preferable
30
Regulatory & Strategic Initiatives Project Manager Resume Examples & Samples
- Ability to work with stakeholders across multiple lines of business at a senior level
- High-level of attention to detail
- Ability to create structure, framework and processes across many large, complex programs
- Ability to reconcile high level information received from multiple sources, identify any missing gaps and create detailed business requirements that meet the business need within the scope of the initiative
- Able to conduct effective facilitation sessions with multiple stakeholders
- Participate in all phases of the project lifecycle; track/manage issues and project plan
- Ability to challenge and drive the teams to decisions
- Competency in all knowledge areas of project management including: integration management, time management, cost management, quality management, communications management, risk management, change management
- Prior experience with CCAR/DFAST or large regulatory initiatives is a plus
- PMP certified
- Minimum of 5 years' proven experience as a Project Manager in a Financial Services industry working on large, multi-area initiatives
- Ability to deliver quality results against fast-paced project deliverable deadlines
- Ability to track and drive multiple programs and projects
- Familiarity with emerging regulatory standards (CCAR, Basel and Dodd-Frank rules) a plus
- Proficient in Microsoft Office (Excel, Word, PowerPoint, Project, Visio), Sharepoint a plus
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Compliance Officer Sanctions Regulatory Resume Examples & Samples
- 5+ Years of work experience in an international financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; at least 2-3 years years experience working in control function (compliance, audit, risk) or higher OFAC risk product (treasury/cash management, trade, correspondent banking) roles
- Solid understanding and working knowledge of sanctions compliance and OFAC sanctions programs
- Strong knowledge of banking products/services and operational processes
- Ability to take ownership and lead projects; excellent oral and written communication skills
32
Regulatory Examinations Manager Resume Examples & Samples
- Management and oversight of onsite regulatory examinations
- Identification, gathering, organization and coordination of production of documents
- Regular interaction with regulatory personnel
- Working closely with UBS employees throughout the firm
- Identify and escalate issues posing potential regulatory risk
- Drafting written responses
- Handling multiple matters simultaneously
- This role will also be responsible for assisting with the management of surveys and sweeps
- Manage the process for regulatory reporting obligations of RIR
- Work closely with business and compliance personnel to identify and drive implementation of remedial actions
- Create and distribute internal reports relating to pending regulatory matters
- Manage and oversee special projects
- Previous experience handling regulatory examinations
- LI-EL1
33
Litigation & Regulatory Lawyer Resume Examples & Samples
- University degree with Legal qualification from a common law jurisdiction
- Good communication skills in both written and oral English, Mandarin and Cantonese are also highly desirable
- Over 7 years relevant post qualification experience from a leading international law firm, financial institution and/or regulator
34
Litigation & Regulatory Investigations Resume Examples & Samples
- Assist the litigation and regulatory investigations team and country lawyers with all aspects of significant litigation reporting
- Maintain a regional-wide database for use in all aspects of significant litigation reporting
- Create all related reports, as required
- Assist global head office and global legal support in New York in implementing global and regional initiatives
- Assist the litigation and regulatory investigations team in interpreting and advising on court and regulatory orders and notices
- Assist the litigation and regulatory investigations team with document preservation and collection requirements
- Assist the litigation and regulatory investigations team with legal research
- Maintain internal know-how for the litigation t team
- Assist in preparing and updating training presentations and materials
- Assist in processing law firm invoices
- Coordinate with legal colleagues and other internal functions in relation to the above
- Other ad hoc activities as assigned by manager
- Minimum 6 years paralegal working experience in an international law firm and/or an international bank
- Experience of litigation reporting and of conducting legal research
- Thoroughness and a strong attention to detail
- Ability to work under pressure and to multi-task
- Strong communication skills (oral and written) in English and preferably Mandarin
- Excellent interpersonal skills as well as have the ability to work closely and confidently with different levels of seniority
- Strong command of Microsoft Office (including Word, Excel, Powerpoint and Outlook)
35
Regulatory Inquiries Group Resume Examples & Samples
- Research, analyze and respond to regulatory inquiries from the US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Commission (CFTC) and Self-Regulatory Organizations (SRO) relating to Federal laws and SRO/Exchange rule violations (e.g., ISE & CBOE option rules, NYSE principal trading, insider trading, Regulation M, front-running, information barriers, etc.)
- Analyze complex trading data to distill the information into responses regarding trade executions/order handling
- Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, operation personnel, compliance coverage, etc. as required, to investigate, gather Firm documents, analyze and respond to complex trade inquiries
- Prepare formal responses to regulators and provide advice to business and compliance personnel
- Respond to “real time” trading situations presented by Regulators relating to best execution issues
- The ability to handle regulatory inquiries
- The ability to work independently
- A regulatory, trading or legal background highly preferred
- Bachelor's Degree required
36
Regulatory Relationship Manager Resume Examples & Samples
- The role will interact with very senior individuals in the institution and therefore the individual must demonstrate a high degree of professionalism at all times. Individuals may be expected to travel, as may be required to accommodate regulatory activity
- A minimum of 7 years relevant experience working in the banking or securities industry, as a regulator, in a role directly interacting with regulators, or in a leadership role within a Legal or Compliance Department is required
- A minimum bachelors degree is preferred. Applicable certifications for the area of responsibility are a plus, but not required (example, CRCM if supporting Compliance activity, Series 7 if supporting securities activity)
- Regulatory knowledge - Must have a good understanding of regulatory processes and activities and an understanding of regulatory requirements applicable to the areas assigned
- Business knowledge - Must have a solid understanding of key business policies, products, processes systems and roles and a general ability to understand business discussions with regulators
- Analytical Skills - Has an ability to "connect the dots" and critically analyze situations, recommend effective solutions to problems and identify or anticipate regulatory concerns
37
Business Analyst, Regulatory Resume Examples & Samples
- Pro-actively interact with project partners to ensure that the needs of the business are met while at the same time understanding business implications
- Responsible for production of executive level reporting as to project status, major issues, scope changes and milestones achievements or misses
- Navigating – understanding and translating Change Delivery strategy into own project deliverables
- The Business Analyst I position should have between 5 and 7 years combined experience in technology, project management, banking, and/or operations
- Have a solid knowledge of project lifecycle and methodologies
- Ability to develop cohesive working relationships with business partners
- Confidence working with staff that includes the highest levels of management
38
Head of Operations Regulatory Control Resume Examples & Samples
- Following the Financial crisis, the FS industry has been subject to continuous scrutiny and on-going development by the global regulators. HSBC has a requirement to comply with the Global regulation, not limited to DFA, but including all global jurisdictions
- To respond to this, the Operations Regulatory Control function was setup to centralize and consolidate all appropriate regulatory activity within GM Operations to ensure its approach to regulatory compliance is coordinated and its controls are maintained
- This role has overall responsibility for ensuring compliance with all global and local regulation in Americas GM Operations. The candidate will need to understand key operational regulatory developments within Global Markets, work with Operations and Business counterparts locally, regionally and globally to determine how these will impact and agree on the implementation approach
- This role also has responsibility for certain global activities, such as representing HSBC on key Regulatory forums, where these forums are not limited to a single jurisdiction. Where HSBC has a particular interest in certain areas, the role will involve taking an active lead in driving industry planning, e.g. industry response to x-asset confirm timeliness regulation, take an active role in industry meetings with Regulators on Global Trade Reporting Challenges
- This role will involve liaison with various levels of management within Global Markets, as well as project stakeholders (locally, regionally, and globally). Given the nature of the role, the diversity of matters which the jobholder requires to handle is very wide
- The remit includes regulatory requirements for the SEC, FINRA and CFTC. As a result, the required knowledge is broad
- The role requires a good understanding of the HSBC Group operations and policies
- The jobholder must establish good working relationships with the members within Global Markets Operations and other project stakeholders (including IT, and other business contacts like Compliance, Finance, Product Control, Risks, and Front Office) in particular, effective relationships with senior Operations management across the globe as well as senior members of the NY office such as CCO and COO are critical
- The job holder must establish and maintain good working relationships with external stakeholders, including Trade Associations, Vendors, Service Providers and industry peers
- Experience in leading Market Initiatives and market forums, and detailed knowledge of current developments
- Experience of dealing with Regulators and meeting with banks and other external stakeholders to discuss these types of initiatives
- 10 years experience in the Investment Banking industry or similar environment (e.g. broker, custodian) together with experience of delivering regulatory and industry change
- Proven track record of having delivered and/or reviewed complex, cross organisational/geographical business change within Operations
- Excellent presentation, communication and interpersonal skills
- Ability to review and digest frequent documents and data to determine what actions we need to take, which decisions need to be made, and who needs to be involved in those discussions / decisions
- Ability to influence and negotiate across all levels inside HSBC, with our peers in the industry and with Regulators. The incumbent will be liaising with some very senior people, and externally will represent HSBC to the Industry
- Positive ‘can do’ attitude, high level of drive to meet aggressive deadlines and targets
- Team management skills and people manager, particularly to coach and develop team members
- Tenacious and able to challenge the norm / suggest viable alternative approaches
- 5 years experience in managing a regulatory team
39
Head of Regulatory Development & Policy Resume Examples & Samples
- Seasoned professional with deep experience in one or more senior compliance roles, operating on a cross-jurisdictional level and ideally to include LCO experience in the US
- Extensive knowledge of both regulatory and financial crime compliance risks and industry good practices in managing them across jurisdictions and businesses, especially in the context of development of compliance policies and standards
- Extensive knowledge of financial services regulation as relevant to all of HSBC’s businesses and geographies of operation
- Extensive experience of interacting with regulators at a senior level and on a global basis
- Extensive knowledge of the HSBC Group structure, its business and personnel, and a deep understanding of HSBC’s corporate culture
- Significant experience in the financial services industry
- Lateral thinker with an ability to interpret and solve complex issues
- Excellent communicator with strong inter-personal and influencing skills
- Ability to adopt a tailored and effective communication style to varying levels of management up to and including Group executive management
40
Regulatory Capital Policy Senior Advisor Resume Examples & Samples
- Interprets domestic and international regulatory capital regulations
- Provides transaction-specific advice on the appropriate regulatory capital treatment to Lines of Business (LOBs) and Capital Reporting
- Ensures new regulatory capital regulations are implemented accurately and timely
- Advises senior leadership on key regulatory capital initiatives
- Leads and/or collaborates internally and externally on external advocacy efforts, including working with peers, trade associations, regulators and other government officials, to influence regulatory reform initiatives domestically and internationally
- Serve as the Senior Capital Policy Advisor to Global Markets providing analysis and interpretation of current and proposed regulatory capital regulations domestically and internationally
- Lead specific advocacy efforts on proposed regulatory capital regulations by developing technical positions, working closely with LOBs and support functions to perform impact analysis and representing the Enterprise externally with peers, trade associations and regulatory policy-makers
- Advise LOBs and Enterprise control functions on the appropriate regulatory capital treatment of existing and proposed transactions
- Provide guidance to other teams, including technology project managers, and influence senior leaders to ensure the accurate and timely implementation of new regulations
- Write or edit technical interpretations, executive summaries, internal policies, SEC filings and other communications involving regulatory capital matters
- Develop key external domestic and international relationships to effectively advocate
- Responsible for advising Bank of America (BAC) Business Executives in Capital Decisions, including Goal Setting, Allocations, Distributions, Resolution, Optimizations, Regulatory Compliance
- Interfaces directly with FRB/OCC/FDIC and other regulators to ensure effective implementation of the Basel requirements
- Manages team to ensure both sustained career growth for individuals and team development. Develop top talent within the function
- Interface and manage relationships with supervisory team
- 15+ years experience in regulatory capital and risk management roles in a capital markets environment with a proven track record of advancement, leadership and business success
- Experience within capital policy advidory or in a policy-making role
- Strong capital markets product knowledge including deep knowledge of market risk, counterparty risk and capital treatment for traded products
- Expert knowledge in Basel III for market and counterparty risk
- Experience working closely with industry trade associations, government officials and prudential supervisors
- Strong understanding of US GAAP and IFRS
- Strong written and verbal communication skills that include excellent listening and presentation skills; ability to develop a fact based point of view and comfort in engaging in problem solving
- Proven ability to engage and influence internal relationships at all levels across a complex organization, establish and maintain collaborative partnerships and provide thought leadership to strategic decisions
- Strong team leadership skills; able to attract, retain and develop top talent; strong coach
- Professional executive demeanor
- Unquestionable business and personal integrity and values congruent with those of the organization
- Proficient with PowerPoint, Word and Excel
41
Manager Operations Control & Regulatory Resume Examples & Samples
- 18 months Operational Risk experience or a proven track record in a non Operational risk discipline (e.g Audit)
- Intermediate Powerpoint & Word skills
- Advanced communication skills - candidate will be expected to articulate complex Risk proposals in a structured, targeted and impactful manner
- An inquisitive mindset with a desire to build professional relationships at all levels within the firm
- A Degree in Business, Finance, or Accounting discipline preferred but not essential
- Fluency in German and English is a must
42
Regulatory Quality Assurance Resume Examples & Samples
- Form an initial view of whether business processes tested are in compliance with CASS rules, with relevant discussion with Compliance and SME's as appropriate
- Assist team leader in the collation and reporting of findings and agreement of remediation actions with area under review
- Provide support and progress updates, promptly escalate any issues identified from testing
- Stakeholder engagement: effective client interface to ensure successful and timely completion of reviews; build and maintain professional relationships within the business
- Look to gradually build up assurance capability by seeking and acting on feedback
- Minimum of 3 yrs in an audit or risk discipline. Supplemented with wider financial business and product knowledge from other roles
- Delivery focused - takes ownership for assigned tasks and seeks to deliver work of high quality
- Analytical mindset with attention to detail, to be able to understand and test complex business processes, and evaluate information provided by the business for adequacy
- Strong communication skills - able to conduct effective meetings with business and obtain the information required to complete review
- Creative and inquisitive mindset - with a desire to build and maintain professional relationships at all levels within the firm
- A Degree in Business, Finance, or Accounting discipline. Further relevant qualifications such as ACA or MBA desirable
- Candidate should have working knowledge of UK CASS rules; experience across a range of Shared Services functions (such as Product Control, Operations or Financial Accounting) would also be desirable
- Intermediate Powerpoint & Excel skills
43
Regulatory Developments Compliance Officer Resume Examples & Samples
- 10+ years of experience across an investment bank and / or law firm (focus on regulatory developments or compliance is highly desirable)
- Experience managing multi-disciplinary teams
- Experience dealing with senior management
- Good interpersonal, leadership and influencing skills - able to influence without authority and commands respect through actions
- Presentation skills – formal and informal to differing audiences
- Ability to understand the detail but also able to take a big picture approach
- Strong relationship skills and ability to manage conflict
- Proactive, has drive and energy
- 100% team player
44
Regulatory Governance & Prioritisation Manager Resume Examples & Samples
- Develop, manage and review the regulatory outcomes and KPI’s for regulatory management
- Validate, manage and support entry of new regulatory initiatives through the Group Portfolio approval process
- Manage the governance progress of regulatory initiatives through the regulatory life-cycle
45
Regulatory GMP Compliance Resume Examples & Samples
- Maintain a thorough knowledge and understanding of applicable cGMP Regulations, Regulatory Agency Guidelines, Industry Association Guidelines, and Good Practices. Lead the practical interpretation and implementation of Regulations, Guidelines and Good Practices, to ensure that all site activities are compliant. Ensure that documentation and records are compliant
- Lead the site in developing and implementing quality systems across the full scope of Regulations, Guidelines and Good Practices
- Lead the implementation across the site of a self audit program. Play a leading role in any visit, audit or contact with Regulatory Agencies. Ensure that site training program drives compliance to GMP
- Ensure that the site implements corrective and preventive investigations and action plans in response to all incidents and audits, in a timely manner
- Work with other sites to ensure that good practices are shared and reapplied, consult with other QA organizations to share and reapply good practices
46
Regulatory & Legislative Change Management Officer Resume Examples & Samples
- Monitor changes in regulatory and legislative space
- Provide alerts and weekly bulletins to Compliance as well as applicable bank personnel to ensure appropriate awareness and understanding of rule changes
- Research and analyze applicable rules and assist in the implementation of new regulatory requirements
- Organize, lead and/or participate in industry roundtables and committees on proposed rule changes
- Establish lines of communication with senior management and all levels within business lines to be a primary resource for regulatory change information and analysis
- Assist in risk assessments, analyses of controls, annual compliance plans, compliance training and updates to policies and procedures
- Provide regulatory guidance and analysis to senior management
- Lead projects impacting U.S. Banks
- Provide periodic reporting to relevant oversight and management committees, including both gathering and reporting of data/metrics and presentations to senior management
- Respond to and address regulatory enquiries
- Minimum of five years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
- Familiarity with institutional and retail bank products
- Knowledge of bank laws and regulations, particularly from the FRB, OCC, CFPB and FDIC
- JD, MBA or CRCM preferred
- Previous experience with a bank government agency preferred (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance or business capacity within the banking industry
- Organizational skills to manage multiple projects and ability to work independently in a fast paced development and production support environment
- Able to perform analysis and problem identification, determine solutions and best execution and able to work under specific deadlines
- Excellent oral, written and analytical skills
- Keen client-relations skills and ability to partner with business units to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
- Strong work ethic and sense of integrity
- Self-motivated with the ability to move projects forward
- Strong team-orientation
47
Regulatory Capital Management Ccar Central Challenger Analytics Resume Examples & Samples
- Develop central and product level challenger models and analytical frameworks to conduct independent assessments of Firm-wide stress results
- Perform independent review of the capital stress testing processes and challenge assumptions and results
- Liaise with controls team and CCAR program management team to ensure effective co-ordination throughout stress testing process
- Stay current with emerging requirements, both regulatory and others, and manage corresponding changes in models, systems, and processes
- Partner closely with internal and/or external Project Management Office resources to enhance end-to-end capital stress testing process and achieve continuous improvements
- Participate actively in presenting plans, status, and findings to management
- Background in CCAR process and regulatory capital rules
- Experience / exposure within public accounting, FIG banking, portfolio or profitability management helpful
- Experience in Corporate or LOB planning and analysis and equity research analytics methodologies
- Experience with pricing models, capital models and / or financial forecasting
- Strong analytical, and problem solving skills
- Excellent organizational, management, and communication (verbal and written) skills
- The candidate must be a self starter who is able to work in a fast paced, results driven environment
- Required MBA/CFA or equivalent
- 3 to 5+ years in a large Bank or Financial Institution
48
Regulatory Capital Analyst Resume Examples & Samples
- Perform data quality analysis and root cause analysis of the missing risk data elements in the exposures available across of the Basel Warehouse
- Escalate the issues to business, risk partners or downstream system feeding Basel Warehouse (Optima) for remediation
- Coordinate on data issues remediation with the identified responsible parties
- Monitor, track and coordinate timely resolution of data issues in a monthly basis. Follow up on the remediation estimated times
- Build and deliver metrics, trends to provide status on the escalated and resolved issues to Risk Senior Management. Coordinate monthly calls with Risk partners to provide Data Quality status
- Interact with CRMS and SMC teams on the Facilities and securities data quality issues for remediation
- Act as Liaison between technology and business to support data issues investigations
49
Regulatory PMO Analyst Resume Examples & Samples
- Assist and advise leaders, managers, and teams to the best use of project management disciplines and approaches within a fast-paced, high regulatory business environment
- Act as a reference point for PMO queries and information and an advocate for best practices in project management
- Prepare presentations for Operating Committee meetings by coordinating inputs from various stakeholders
- Track and report on project portfolio performance, providing a comprehensive and prioritized view of all projects
- Financial Controller – Manage all invoicing process for programme
50
Operations Regulatory Control Change AVP Resume Examples & Samples
- Take responsibility for the delivery of specific projects within the Reporting stream of the Operations Regulatory Control Change Management roadmap
- Understand and asses all upstream changes and their impact on covered Regulatory Reporting
- Drive the implementation of regulatory initiatives with members from Operations, Technology, Compliance, Legal and the Business
- Co-ordinate the front to back testing of business and regulatory change, ensure that the results are documented and presented for sign off by the business
- Ensure completion of all appropriate project documentation throughout all stages of the project lifecycle from initiation to project close out
- Identify key change initiatives that will centralise the firms reporting, minimise cost and risk and maximise benefit
- Manage communication for the change program with sponsors and key stakeholders
- Industry experience with strong product, front to back and technical knowledge
- Strong working knowledge of FCA Transaction reporting and Trade reporting regulation
- Good project management skills and experience of managing large complex projects
- Broad experience in matrix managing multiple teams of different work streams
- Multiple examples of delivery of on time and on budget projects that achieve business case stated outcomes
- Good stakeholder management experience, especially impactful communication, influencing and running project governance, change management and benefits realisation
- PMP/PRINCE2 or equivalent qualified advantageous
- Self-starter, able to work on initiative and organise themselves well
- Good interpersonal communication skills which will be required for both internal and external business partners
- Able to build and maintain effective working relationships quickly
51
Regulatory Policy Associate Resume Examples & Samples
- BGL ICAAP Document
- Contribute to the production of the firm’s ICAAP’s
- Assist with the preparation of ICAAP related presentations
- Assist with the project management of BGL’s ICAAP project
- Provide secretariat to the ICAAP Steering Committee, including setting of agendas, preparation and collating of papers and the timely production of minutes
- Provide secretariat to the ICAAP Board Workshops, including setting of agendas, preparation and collating of papers and the timely production of minutes
- Organise room bookings and liaising with executive assistants to ensure desired attendance
- Assist with preparation and distribution of ICAAP update papers for Boards and executive committees on a monthly basis
- Assist with the preparation, collation and distribution of the ICAAP quarterly updates for the BGL Capital Committee
- BGL Capital Committee
- Assist with the preparation of papers to be discussed by the BGL Capital Committee
- BGL Pillar 3 Disclosure
- Assist in the preparation of the BGL’s Pillar 3 Disclosure
- Assist in the preparation of a new Policy document in line with CRD IV
- Assist with the preparation of Pillar 3 related presentations
- Liaise with HR / Legal to ensure timely production and approval of remuneration section
- Other Matters
- Assist with the review and update of the BGL Capital Policy
- Assist with the completion of data for FSA019 for annual submission
- Leverage relationships with internal stakeholders and external advisors to facilitate the above
52
Senior Regulatory Relationship Manager Resume Examples & Samples
- To facilitate a strong and positive relationship with HNAH's regulators by
- Maintaining regular, open and transparent dialogue with HNAH's regulators
- Coordinating and centralizing the flow of information between the various regulators and the appropriate staff
- Ensuring HNAH is being responsive to the Regulator’s needs or concerns
- Providing timely and accurate reporting of regulatory activity and any noted or emerging issues or themes
- Reporting and escalating to Executive Management matters that can negatively impact the relationship with our Regulators
- Advising staff and management on responses to Regulators; and
- Pro-actively preparing HNAH Management and staff for interactions with Regulators
- The role will function as the senior relationship manager and interact with very senior individuals in the institution on issues having the greatest impact and sensitivity and time constraint. The level of interaction and communication required is of advanced nature and therefore the individual must demonstrate a high degree of professionalism at all times
- Individuals will be expected to travel periodically, as may be required to accommodate regulatory activity
- A minimum of 8 - 10 years relevant experience working in the banking or securities industry, as a regulator, in a role directly interacting with regulators, or in a leadership role within a Legal or Compliance Department is required
- A minimum bachelors degree in applicable field such as business management, finance, law, required, J.D. strongly preferred. Applicable certifications for the area of responsibility are a plus, but not required (example, CRCM if supporting Compliance activity, Series 7 if supporting securities activity)
- Relationship Management - Demonstrate a proven an ability to build trust and credibility through communication, actions and presence. Must be highly professional in presence and communication
- Communication Skills - Shows excellent written and oral communication skills
- Negotiation Skills - Has ability to influence through use of compelling facts, thought-provoking discussion and logic. Ability to use diplomacy and tact to resolve differing views
- Leadership Capabilities - Demonstrate ownership of topics within the team's remit, "courageous integrity" and actively protects HSBC's reputation
- Teamwork - Must be able to work well across diverse teams of individuals. Willingness to assist others as needed
53
Senior Regulatory Business Analysis for Equity Derivatives Resume Examples & Samples
- Work closely with internal and external stakeholders to elicit requirements and design functional solutions within the GED technical estate
- Ensure compliance with both regulatory rules and internal UBS guidelines
- Document new functional solutions in detailed business requirements documents
54
Regulatory Documentation Team Associate Resume Examples & Samples
- Review new clients based on the Firm’s relevant Client Identification Programs and Client Categorization policies and procedures
- Perform research in order to obtain publically available information on new clients
- Liaise with the various Business Units to obtain the necessary Anti-Money Laundering and Mifid Client Categorisation documents and explain the requirements where necessary
- Deal with regular queries from internal clients,
- Review and respond appropriately to reports designed to help manage regulatory and other kinds of risks
- Carry out other ad-hoc tasks related to the job such as performing user acceptance testing for technology enhancements
- Bachelors degree (business or legal is beneficial)
- High level of written and oral English is a must
- Accuracy, attention to detail, good organization skills
- Ability to interact effectively with others across departments, regions and time zones
- Ability to take ownership of projects and cases
- Relevant professional experience in Regulatory Compliance, Client On-boarding or Operations function
- Experience in handling a client database
- Project management or process improvement experience is a plus
- Advanced excel skills a plus
55
Pcb-regulatory Delivery Manager Resume Examples & Samples
- Able to work autonomously, plan and organise work efficiently and effectively to deliver promptly and reliably
- Demonstrates a systematic, disciplined and analytical approach but able to adapt to changing requirements and able to deal with uncertainty
- Able to understand and focus on detail to be able to deliver effectively and to high standard but able to see the big picture approach and stay focussed on key priorities
- Very good interpersonal, communication and influencing skills across all levels
- Able to clearly and effectively communicate sensitive or complex matters clearly
- Dynamic and willing to challenge status quo, recommend improvements and pro-actively enhance current processes
- Experience of banking, broad awareness of Compliance desirable
- Strong management, motivational and interpersonal skills
56
Corporate Risk-firmwide Market Risk Regulatory Executive Director Resume Examples & Samples
- Bachelor’s degree, Masters/MBA preferred
- 10-15 years work experience in financial services
- Strong influencing skills; ability to gain consensus among various partner teams
- Strong project management skills; ability to drive initiatives to completion effectively
- Experience with regulatory interaction, ability to handle requests and discuss issues with regulators and familiarity with regulatory rules pertaining to risk a plus
- Market risk or other risk management experience
- Strong judgment and excellent verbal and written communications skills
57
Operations Control & Regulatory Resume Examples & Samples
- Prepare monthly Control Review Meeting materials with Operations senior management. This includes compiling the control pack, facilitating the meeting, working in partnership with the Global functional & regional line management team to provide independent risk challenge and ensure that all key risks & regulatory requirements are well understood and relevant issues are escalated
- Risk assess and understand current process, new business and deployment proposals to evaluate impact to various Operational functions. Ability to influence structure of projects to suit Operations strategy and ensure areas of control weakness are avoided
- Review existing risk metrics and targets to ensure risk is being appropriately measured and look to define or develop new metrics/ targets as necessary
- Develop and cultivate relationships with senior members of line management responsible for underlying process (including SOX) & supervisory controls and ensure value added activities are performed to understand & enhance their control environment. Communicate and monitor identified risk issues and suggest/track appropriate corrective action
- Work with line management to support Audit/Regulatory Examinations, internal RCSA (Risk Control Self Assessment) and associated follow up actions
- Work with line management to identify and ensure operational incidents/losses are reported timely in the Firm’s incident/loss monitoring system and risk assess each event to ensure appropriate remediation action is taken. Perform regular thematic read across to ensure risk is mitigated across other processes
- Complete prioritised "Business risk reviews" reviews as required. This includes but not limited to reviewing events/processes where there is inherent risk to identify potential control weaknesses and perform root cause analysis where required to ensure future risk is mitigated
58
Bank Regulatory Officer Resume Examples & Samples
- Developing and maintaining the inventory of bank regulations applicable to the Investment Bank and related risk assessment matrix
- Advising the front office, Finance, Operations and Treasury on the application of new and existing bank regulations
- Responding to regulatory requests pertinent to bank regulatory programs, specifically in the examination or reporting contexts
- Assisting Internal Audit and Compliance Risk Assessment with their reviews of bank regulatory programs
- Conducting periodic training on key banking laws and regulations
- Drafting and maintaining policies & procedures relating to bank regulatory requirements and developing and implementing related controls
- Coordinating Federal Reserve FR Y10 reporting, including the management of the relationship with reporting staff of the Federal Reserve Bank of New York and coordination with other functions for data gathering
- Monitoring of equity holdings subject to the Bank Holding Company Act, including merchant banking, DPC and other holdings subject to investment limitations under US banking law
- Coordinating examinations of UBS branches by Federal and state banking regulators
- Developing action plans when control deficiencies are identified through ongoing monitoring and testing or the examination process
- Notifying impacted areas of the Investment Bank of regulatory developments
- Knowledge of relevant aspects of US banking law and regulations, including Bank Holding Company Act, Regulations Y, YY, D, K, and W of the Board of Governors of the Federal Reserve, the Volcker Rule, limitations on non-banking activities, including merchant banking requirements and equity holdings limitations, OCC investment securities regulation and other bank regulatory guidance
- Law degree and bar admission
59
Senior Bank Regulatory Officer Resume Examples & Samples
- Developing and maintaining the inventory of bank regulations applicable to the Investment Bank and related risk assessment matrix
- Advising the front office, Finance, Operations and Treasury on the application of new and existing bank regulations
- Responding to regulatory requests pertinent to bank regulatory programs, specifically in the examination or reporting contexts
- Assisting Internal Audit and Compliance Risk Assessment with their reviews of bank regulatory programs
- Conducting periodic training on key banking laws and regulations
- Drafting and maintaining policies & procedures relating to bank regulatory requirements and developing and implementing related controls
- Coordinating Federal Reserve FR Y10 reporting, including the management of the relationship with reporting staff of the Federal Reserve Bank of New York and coordination with other functions for data gathering
- Monitoring of equity holdings subject to the Bank Holding Company Act, including merchant banking, DPC and other holdings subject to investment limitations under US banking law
- Coordinating examinations of UBS branches by Federal and state banking regulators
- Developing action plans when control deficiencies are identified through ongoing monitoring and testing or the examination process
- Notifying impacted areas of the Investment Bank of regulatory developments
- Knowledge of relevant aspects of US banking law and regulations, including Bank Holding Company Act, Regulations Y, YY, D, K, and W of the Board of Governors of the Federal Reserve, the Volcker Rule, limitations on non-banking activities, including merchant banking requirements and equity holdings limitations, OCC investment securities regulation and other bank regulatory guidance
- Law degree and bar admission
60
Regulatory Support Analyst Resume Examples & Samples
- Analyst support for all aspects of regulatory Governance & Prioritisation for the PCB Regulatory Management function, including
- Assurance of portfolio governance standards
- Consolidation, generation & quality assurance of portfolio risk, issues, assumptions and dependencies
- Support production of steering/management committee governance packs and reports
- Support development & delivery of Regulatory Management communications
61
AVP Business Analyst, Regulatory Resume Examples & Samples
- The jobholder will have direct control over project deliverables within the usual authority limits for a GCB 5 and may be required to work independently, as part of a team, or provide guidance to less experience Business Analysts
- Aspiring – being ambitious about providing the highest standards of delivery
- Driving – setting stretching goals for self and delivering them with courage and tenacity
- Mobilising – authentically engaging with team members, stakeholders, development teams, colleagues and business partners to deliver at pace
- Sustaining- making considered decisions that protect and enhance HSBC values, reputation and business
- Ability to work independently and manage multiple technical and/or non-technical projects
- Strong analytical, interpersonal, presentation, written & verbal communication skills
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Senior Regulatory Relationship Manager Resume Examples & Samples
- Receiving, analyzing and forwarding regulator materials to the appropriate parties, including first day letters, responses to supervisory letters and other communication. The role is also responsible for being the liaison between the regulator and business area to obtain clarification on supervisory matters
- Assisting business areas in preparing for regulatory activity (exams, meetings, etc), including facilitating preparatory meetings and providing training to staff
- Analyze regulatory activity and work with the Legal and Communications functions to ensure there is proper communication of regulatory issues, concerns or themes and there are appropriate responses
- Facilitating regular coordination meetings/dialogue with the lead regulators to establish a strong, positive relationship with good communication
- Ensure there is proper accountability of any remediation activity resulting from regulatory supervision and working with the responsible individuals/governance committees to track and report progress
63
Operations Regulatory Control Group VP Jersey City Resume Examples & Samples
- Shape and execute agenda to oversee identified Regulatory Commitments
- Manage global team to accomplish stated objectives
- Sponsor and toolset required to support objectives
- Engage with senior management across Divisions on stated topic
- Good judgment to deal with competing priorities
- Experienced team manager, overseeing resources in multiple locations
- Drive and shape agenda of team
- Consistently able to produce high quality program documentation, specifically updates to senior executives
- Strong problem-solving skills, coupled with the self-motivation and leadership to drive projects to completion
- Ability to deliver while working under pressure to tight deadlines; flexible and able to respond positively to changes / moving targets
64
Basel Regulatory Capital Analyst Financial Analyst Resume Examples & Samples
- Perform data quality analysis and root cause analysis found in Basel Warehouse
- Coordinate on data issues remediation with the identified responsible parties
- Deliver monthly metrics, trends to provide status on the escalated and resolved issues to the Risk Partners
- Act as Liaison between technology and business to support data issues investigations
65
Specialist Financial Crime Regulatory Africa Region Resume Examples & Samples
- LLB degree
- ACAMS Certificate; or
- Specialist knowledge of the Financial Intelligence Centre Act, its Regulations, Guidance Notes and Public Compliance Communications
- Good understanding of Know Your Customer legislative requirements for various Africa jurisdictions
- Drafting skills
- Previously work with and in African jurisdictions will be an added advantage
- Innovative thinking
66
Assurance Senior Professional Practice Quality Regulatory Matters Resume Examples & Samples
- Support engagement teams undergoing PCAOB inspections, including assisting the engagement team’s responses to comment forms
- Assist in managing our relationship with the PCAOB inspection division
- Monitoring other firm related inspection activities of the PCAOB including firm-level quality control areas and data requests
- Providing assistance with the triennial peer review of the firm’s non-public clients
- Assist in preparing the analysis and findings and develop communications regarding the results of the inspection activities
- Work to help identify course modifications and/ or additional training needs
67
Compliance Officer Regulatory & Regulation Response Resume Examples & Samples
- At least 5 years of work experience in a financial institution or regulatory agency as a Compliance Officer or attorney supporting more than one consumer businesses (i.e., Mortgage, Deposits, Credit Cards, Wealth Management) over the course of those seven years. Work in a role supporting financial institutions (e.g., law firms or consultants) will be considered to meet the seven year requirement
- Familiarity with and ability to understand how consumer financial services operates at a large, global bank in order to be able to understand and assess the potential implications of regulatory or legislative changes to different businesses and to Citi as a whole
- Ability to coordinate and/or conduct in-depth, independent investigations and draft and report findings from investigations on a potentially wide array of sensitive topics
- A Bachelors Degree from an accredited college or university is required. A JD from an accredited law school or other graduate degree and/or litigation experience is considered favorably. Experience with a Federal, State or non-US Financial Services regulator is considered favorably
68
Regulatory Documentation Specialist Resume Examples & Samples
- Customer database management (i.e. creation of newly acquired customers in the core system of Morgan Stanley and maintenance of the records of existing clients), and
- Collection and refresh of certain documents obtained as per the Anti-Money Laundering customer due diligence programs of Morgan Stanley
- Possess an in-depth understanding of the Firm’s Rolling Review policy and of the internal processes, procedures, reports and controls related to this policy
- Perform data quality checks on work done by the third party vendor to ensure that the Rolling Review requirements have been met
- Liaise with the vendor for training and to address data quality issues that come up
- Review information / documentation currently on file to assess adequacy and determine what updated or additional information / documentation is required
- Perform research using internal and external sources to attempt to satisfy Rolling Review requirements without BU or client contact
- Use standard templates to produce and distribute requests to BU and clients for required information / documentation
- Liaise with BU and clients to obtain required information / documentation and explain the requirements where necessary
- Review and approve information / documentation obtained
- Update proprietary systems with information / documentation obtained
- Provide status reports and escalate issues to management, as appropriate
- Refine tools (e.g., reports) used to facilitate the Rolling Review process
- Enhance and maintain written procedures
- Outstanding attention to detail and analytical ability
- Ability to interact effectively with others across departments, regions and time zones
- High level of English language is essential
- Economic or legal qualification
- Previous working experience in finance, banking, operations or at a multinational company is advantageous
- Client On-boarding / anti-money laundering experience
- Other foreign languages advantageous
69
Regulatory Counterparty Credit Risk Officer Resume Examples & Samples
- Provide Risk Regulatory Coordinator coverage for all matters related to Counterparty Credit Risk Capital Calculations stress testing, and Economic Risk Capital
- Applications for new risk models. This includes coordinating the new model application pack, advising on how to design new models to meet regulations, and critical review / redrafting of application pack material. In particular, providing support on the SEC Alternative Net Capital rules relating to counterparty credit risk capital calculations and Dodd Frank 165 (U.S. IHC)
- Provide general support to U.S. Basel III implementation
- Provide general support with respect to model risk management framework (compliance with SR 11-7)
- Compliance of existing approved risk models. This includes providing advice on how to amend risk models or processes to comply with new regulations, highlighting potential regulatory issues, and challenging self-assessment responses
- Managing regulatory meetings involving Risk management issues. This includes organising agendas, chairing and presenting at regulatory meetings, chairing internal prep meetings, and ensuring consistency of message on cross-function issues
- Coordinating ad hoc regulator queries. This includes answering regulators’ queries, advising on efficient regulatory capital management, contributing to industry feedback forums
- Providing advice internally on regulatory issues around new business proposals
- Tracking and reporting regulatory commitments of and information requests to CRO division
- Providing MI and regulatory advice to Risk division senior management
70
Regulatory Relations Officer Resume Examples & Samples
- Deliver regular reporting to regulators, liaising with colleagues in relevant businesses and infrastructure areas across the firm and managing delivery timelines
- Attend to requests from regulators
- Track delivery of regulatory commitments, and produce status updates on progress against commitments for delivery to Regulatory Relations management
- Own all reporting as and when required by Regulatory Relations colleagues and contribute to Regulatory Relations reporting activity to other businesses and infrastructure areas within Barclays
- Produce management information on Regulatory Relations activity for reporting to Board-level committees
- Lead responsibility for Regulatory Relations Africa updates to BRES platform, with overall aim of ensuring the platform contains all Regulatory Relations Africa content needed to act effectively as a single source for coordination of regulatory engagement
- Ensure all Regulatory Relations Africa content relating to significant regulatory interactions is recorded consistently and accurately in BRES within agreed timeframes in order to meet external stakeholder commitments
- Collaborate with colleagues responsible for regulatory tracking and updating BRES across the bank on projects to consolidate relevant data in BRES from other databases
- Drive consistency in projects by working with Regulatory Relations colleagues on other projects as required to support delivery of Regulatory Relations and Barclays objectives
- Project administration in relation to projects to address regulatory concerns effectively contribute to all other project work with any other ad hoc requests in the regulatory relations team
- Determine needs of stakeholders through regular interaction with senior members in the regulatory relations team
- Evaluate, manage and prioritise tasks in line with business needs
- Provide specialist assistance to external stakeholders where necessary
- Escalate matters where necessary
- Foster professional relationships with bodies such as the SARB, FSB, NCR where necessary
- Feedback regularly to business stakeholder in relation to industry development
- Relevant Bachelor degree,
- 3-5 years’ experience in a banking environment
- Strong Microsoft Office skills, in particular advanced Microsoft Excel
- Comfortable working with large and complex data sets
- High degree of social skills when dealing with a range of people and situations
- High levels of initiative, problem solving and prioritisation skills
- Self-starter / proactive
- Ability and desire to work at fast pace whilst maintaining accuracy
- Ability to multi-task, turnaround requests quickly and generally get things done
- Top level Executive contact - jobholder must be comfortable working with very senior personnel
- Very high level of confidentiality/discretion required
71
Regulatory Application Developer Resume Examples & Samples
- At Least 5 years of combined business, project and IT experience
- Strong Oracle 10g/11g development experience: SQL and PL/SQL
- Certifications in Oracle
- UK or European Regulatory reporting projects, Basle II / III
- Preferred ETL knowledge - Ab Initio
- Coordination Skills- Advanced
- Problem Management - Advanced
72
Regulatory Capital Management Resume Examples & Samples
- Develop firm wide models to forecast capital stress testing components
- Develop approach and implementation plan for each required central capital model
- Partner closely with external data providers and model development resources
- Stay current with emerging requirements, both regulatory and others, and manage corresponding changes in models, systems, and processes
- Liaise with Central Stress Testing team on all CCAR submissions
- Oversee and participate in hands-on review of tools, documentation, process, and data to assess conceptual and financial soundness of the implementations, as well as compliance with rules and best practices
- Present plans, status, and findings to management
- Graduate degree in a quantitative discipline (Mathematics, Statistics, Engineering, or related quantitative field)
- The candidate must be a self starter who is able to work in a fast paced, results driven environment
- Experience in statistical modeling software (SAS, EViews, R, Matlab etc.); Strong Excel, VBA and SQL skills
- Good knowledge of financial products and financial markets
- Good organizational, management, and communication (verbal and written) skills
- Experience with pricing models, capital models, and/or financial forecasting is a plus
- Experience and knowledge in regulatory capital rules (Basel and CCAR) is a plus
73
Human Resources Regulatory Compensation VP Based Resume Examples & Samples
- Subject Matter Expert with the ability to digest, interpret and explain the impact of regulatory and other external and internal changes and requirements on the Firm’s compensation structures
- Maintain a sound understanding of the regulatory restrictions placed on compensation structures in the FS sector and assist with understanding the impact on the Firm’s business, developing proposals to manage that impact and assisting with preparing updates to senior management
- Collaborating with US to produce integrated global subject area initiatives
- Assist HR Business Partners and other Specialists inside and outside of HR on the compensation aspects of highl complex cases
- Maintenance of plans to ensure continued tax, legal and regulatory compliance including assessing the impact of legislative changes
- Tracking the progress of new regulations through relevant approval processes (i.e., EU, PRA, FCA, etc.)
- Reviewing regulatory consultation documents as well as draft and final regulations to determine, and contribute to internal debate on,impacts on the Firm’s business and employees – this will involve working closely with the wider Compensation team (in particular, the Heads of EMEA Compensation and EMEA Regulatory Compensation), as well as functions across the Firm in the UK, EMEA and globally (e.g., Legal, Compliance, Risk and front office)
- Developing alternative compensation models in response to anticipated regulatory changes (supported by quantitative analysis and modelling)
- Preparing updates and presentations for senior management on both issues and proposed solutions
- Ensuring compliant implementation of new regulations (e.g., CRD4, AIFMD, MIFID)
- Drafting responses to regulators throughout the EMEA region as part of the year end compensation sign off process as well to ad-hoc queries on specific issues
- Preparing the Firm’s statutory regulatory and public compensation disclosures
- Responsibility for analytics and reporting on regulatory compensation issues
- Providing ad hoc advice to HR Specialists and Generalists, other specialist functions outside of HR (i.e., Legal and Tax) and members of the business on Compensation issues
- Providing technical support to our regional (ex-UK) offices, adding a regional perspective to global Compensation and Benefits discussions
- Build and maintain proactive relationships with other internal groups such as Legal, Compliance, Tax and the New York Compensation team
- Excellent interpersonal and communications skills; it will be essential to quickly build credibility with the senior management of control functions, the front office as well as external advisers (e.g., the Big 4 and Magic Circle law firms)
- Excellent and proven quantitative analytical and reporting skills
74
Regulatory Interaction Senior Analyst Resume Examples & Samples
- Support the definition and communication strategies for regulatory exam management in order to meet Citi’s legal, regulatory and compliance requirements
- Support the regulatory examination process as a lead or support contact/central point of communication with regulators for examinations and requests – schedule, objectives, etc. – and provide status updates to IS Senior Management on periodic basis
- Collect, review and manage deliverables required for successful completion of Regulatory examinations and requests
- Coordinate, develop and review regulatory examinations draft responses
- Support the quality assurance process of evidentiary materials in support of issue closure
- Support the coordination of O&T level communications and engagement with Audit Workgroup
- 7 years experience working in operations and technology risk and / or control functions within a financial services organization
- 3 years experience working with external regulators within a financial services organization
- Strong written and oral communications skills, including presentation skills
- Able to communicate effectively at all levels of the organization
- Individual should be analytical, flexible, team-oriented, have good interpersonal and follow up skills with strong attention to detail and ability to multi-task
- Technical proficiencies in MS Word, Excel, and PowerPoint
75
P&A Lead Regulatory Finance Analyst Resume Examples & Samples
- Support regional model alignment efforts
- Perform testing of automation of CCAR submissions
- Coordinate with CCAR work stream leads
- Support projects to automate CCAR submissions across Latin America
- Develop strategies to drive the Basel results to the businesses and establish RWA reduction action plans
- Direct the implementation of new policies or rules created for Basel in the region. These include developing and executing a project plan with training sessions, system solutions, and implementation strategies
- Establish and maintain strong relationship with the Global Basel Finance and Credit Officer as well as senior executives so as identify their needs and seek full range of business solution
- Coordinate business and regulatory reporting activities with the regional team, regional risk management, and the countries
- Ensure adequate documentation of processes for preparing the Basel portfolio data submissions
- 4 to 7 years of experience
- Education BA/BS, graduate degree is a plus
- Knowledge in Financial Institutions Regulations, including Basel II and Basel III requirements a plus
- Must be able to quickly identify trends and statistics in large data sets and communicate those trends in an effective manner to a wide audience
- Must be able to reconcile large data sets and identify underlying issues in data sets and transformation logic
- Basic understanding of risk management, corporate finance, and portfolio management
- Attention to detail and ability to multi-task and prioritize assigned tasks
- Effective communication skills with multiple management levels
- Self-starter with the ability to work in multi-disciplinary tasks involving global partners
- Experience working analytically with large datasets
- Problem solving capabilities
- Skilled user of Microsoft Excel including macros, Access, PowerPoint, SharePoint, and Adobe Standard
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Regulatory Evaluator Resume Examples & Samples
- Bachelor's degree (CPA or CFA a plus)
- Strong relationships with accounting firms and/or regulators- Five or more years of experience in quantitative modeling and/or financial reporting
- Deep understanding of fixed income securities, analytics and pricing models
- Highly motivated with excellent communication skills
- Highly detail-oriented with solid analytic skills
- Commitment to enhancing and developing existing products
- Ability to work with and analyze a large amount of market data
- Superior knowledge of Microsoft Excel, statistical analysis tools and Bloomberg applications
77
CIB & Corporate Risk Regulatory Coordination VP NY Resume Examples & Samples
- Experience in Risk, and/or in a related Control function, preferred; knowledge of regulators’ exam processes and/or background in regulatory matters a plus
- Ability to build effective working relationships and interact comfortably with regulators and with a wide spectrum of colleagues
- Strong written and verbal communication skills; ability to self-edit and respond effectively to regulators and JPMC management
- Attention to detail and commitment to doing quality work in a comprehensive manner
- Keen interest in policy, governance, and regulations
- Strong technical skills – PowerPoint, Word, Excel
78
Regulatory / Supervision Analyst Resume Examples & Samples
- Report to the Head of Regulatory Reporting, manage the day to day process for U.S. Trade Reporting obligations such as OATS, TRF (i.e. ACT), EBS, , 605/606, TRACE, LOPR, CAT, ATS and Dodd Frank
- Work with Technology, Operations and Compliance to enhance monitoring and surveillance reports where necessary and utilize such reports in supervising the Equities business
- Work closely with various internal control functions (Compliance, Legal, Operations and Internal Audit) to ensure the Firm's Regulatory Reporting requirements are met
- Work closely with the Business, Technology and Operations to assess risks related to booking flows
- In partnership with Technology manage a program to ensure technology changes and upgrades that impact regulatory reporting requirements are done in a manner that does not negatively impact such reporting requirements
- Work with Compliance on responding to regulatory inquiries and on regulatory examinations (i.e. FINRA TFCE)
- Work to continuously improve the Firm's existing regulatory framework by improving processes and creating a durable control environment
79
Regulatory & Public Policy Stakeholder Development Manager Resume Examples & Samples
- Proactively and effectively developing and managing the R&PP stakeholder engagement plan, including
- Organising meetings with key stakeholders for EY partners and supporting stakeholder meetings by preparing briefings and presentations
- Building and maintaining direct relationship with allocated stakeholders
- Monitoring emerging risks and opportunities
- Designing and implementing an effective and timely feedback mechanism to ensure intelligence from the stakeholder plan informs relevant EY events, publications, internal and external communications, press releases and future engagement
- Timely reporting of stakeholder insights, including risks and opportunities for EY, to senior partners
- The periodic review and development of the engagement plan
- Working with colleagues (including in the Corporate Communications and Marketing projects) and seeking to ensure the R&PP stakeholder engagement plan dovetails with other EY stakeholder activity
- Developing stakeholder engagement strategies and outreach programmes as required
- Working with colleagues to prepare key messaging and/or gathering relevant content for stakeholder groups. This will include identifying appropriate channels for dissemination
- Planning and delivering (or helping to deliver) stakeholder engagement activities such as events for key target groups (e.g. the Dialogue with Investors programme), publications and surveys
- Liaising with communications, media and marketing teams as appropriate both in relation to R&PP activities and the activities of those teams. In that regard it will be necessary to build strong relationships with them; and
- Measuring brand improvement among key stakeholder groups
80
Regulatory Delivery Ucits V Client Transition Manager Resume Examples & Samples
- Responsible for managing the transition of a group of clients onto an UCITS V-compliant operating model
- Client management - Main/Key client contact during the implementation
- Create appropriate governance structures to oversee successful implementation
- Work with various Operations teams and LOB’s to ensure appropriate resources are assigned to support the transition
- Parallel management of multiple client transitions
- Being able to provide holistic updates to senior management on a regular basis
- Building up a fundamental understanding of the operating model in a short space of time
- Excellent prioritization and time management
- Influencing skills and displaying leadership
- Comfortable with accountability – proactively taking ownership of issues and displaying personal responsibility
81
Analyst, Portfolio Compliance Regulatory Resume Examples & Samples
- Analyzing trade data against various legal regulations to confirm compliance with percentage limitations, account suitability and issuance requirements
- Performing pre & post trade checks for Blackrock affiliates in syndicated activities
- Testing various activities related to Mutual funds as per global requirement
- Assist with training of team members
- Making necessary disclosures in an accurate and timely manner
- 0-1 years of experience
- Strong team player
- Ability to facilitate compromise between conflicting requirements or points of view
82
Corporate & Investment Bank CAO Compliance Regulatory Business Intelligence Lead Resume Examples & Samples
- Respond in an accurate, consistent, and timely manner to provide data to support various regulatory exams
- Manage the data gathering and synthesis required for the annual AML risk assessment and manage the transition to a BAU state for risk assessment over the next 2 to 3 years
- Work with key stakeholder groups such as regulatory exam teams, WCOB operations, and technology partners to design and implement sustainable data warehousing and regulatory reporting solutions
- Ability to interpret and understand Technical Architecture, Data Models and end to end technical process flows
- Strong communication skills to bridge the gap between technology and business stakeholders
- Comfort in communicating with senior business and technology management
- Technical background with experience in data analysis and interpretation
- Experience in the creation of technology budgets and related requirements documentation
- Good understanding of CIB Business and Product Offering across all CIB lines of business (capital markets, treasury services, custody and fund accounting, collateral management, prime brokerage, trade financing, and investment banking)
- Well organized, detail oriented, process driven and aligned, ability to multitask
- Experience managing dedicated and virtual teams
- A willingness to tackle problems and exert influence to achieve objectives
- Personal characteristics such as good organization skills, communication, discipline
83
Regulatory Relations Senior Officer Resume Examples & Samples
- Work with counterparts across Barclays to share knowledge and identify regulatory themes, to create a joined-up approach to regulatory response
- Proactively absorb new regulatory developments to create digestible and precise analysis
- Participate in external industry groups
- Engage with client relationship management technology platform (BRES) to bolster team content housed therein and brings transparency of activity and messaging to appropriate internal stakeholders
- Prepare briefs for senior management for engagement with senior level regulators
- Monitoring regulatory change news and providing material for responses
- Support production of management information on regulatory relations for reporting to Board-level committees
- Participate in change projects to address regulatory concerns; coordinating action from peer functions as well as reviewing and challenging contributions including those for TRANSFORM Regulatory Relations Project
- Act as Secretariat of select project Steering Committees
- Contribute to and manage delivery of team input to projects driven by peer teams when required
- Assist in identifying risk areas and working with stakeholders to remediate
- Assist with testing and managing existing governance mechanisms (such as operational frameworks) to ensure they are fit-for-purpose and operating effectively
- Understand the Regulatory Risk Framework for the Group and ensure it is properly embedded and accurately interpreted to reflect regulatory requirements
- Escalate to the Head Regulatory Relations on all aspects of Regulatory Risk Management in the Group
- Coach and mentor junior team members on a daily basis on how to improve their own productivity and use of the bank’s processes and systems
- Ensure that subordinates are trained and equipped with appropriate skills and knowledge regarding all products, solutions and services
- Relevant Bachelor degree
- 3-5 years’ experience in banking environment in the areas of compliance, risk or
- Regulatory affairs; or
- 5+ years’ experience in stakeholder management (Regulators/Industry Bodies)
- Interest in building in-depth understanding of regulation
- Knowledge of banking business and products
- Understanding of regulatory structures across Barclays Africa Group footprint
- Awareness of high-profile financial sector regulatory reform, e.g., Dodd-Frank Act
- Exposure to blue chip financial services organisation
- Thorough knowledge of Barclays Africa Group
- Experience of working within a project environment
- High level PC skills
- High degree of social skills
- Very high level of confidentiality
84
Operations Securities Regulatory & Tax Analyst Resume Examples & Samples
- Develop expert knowledge in taxation requirements, processes and systems for a number of transactional based tax procedures
- Perform impact assessments on tax processes for new markets, new products, business reorganizations, system changes and new/changed tax regulations
- Investigate and remediate issues with tax processes and develop control improvements
- Work with senior management across the regions from both the Federation and Revenue generating divisions to manage change programs and issue resolution
- Define and produce comprehensive project documentation, including project plan/milestones, business requirements, process flow diagrams and management/project status reporting
- Produce test scripts and coordinate/participate in testing activities with Operations and Technology
- Conduct risk reviews and in-depth assessments of existing reporting infrastructure and recommend improvements
- Provide program oversight and regular feedback / reporting to management
- Act as a risk manager for the firm through ongoing assessment and awareness of the tax regulatory environment and the firm’s adherence to its tax reporting obligations
- Minimum three years post graduate experience with exposure to tax and/or project management
- Analytical thinker with the ability to generate innovative ideas and translate strategy to execution
- Strong data analysis skills; MS Access or basic SQL skills a plus
- Proven ability to organize and prioritize workload and drive results
- Proactive and self-starting individual with solid teamwork skills
85
Market Risk Management Regulatory Subject Matter Expert Resume Examples & Samples
- Provision of expert advice on all rules and guidance related to Federal Reserve’s IHC Market Risk and Model approval, SEC ANC Market Risk deduction & liquidity risk management. This includes setting the scope of all CRO related regulatory requirements for market & liquidity risk including underlying rules, guidance notes (e.g., SR Letters) and Federal Reserve’s view of best practice
- Participate in and manage the US regulatory dialogues on market/ liquidity risk management including setting agendas, briefing key stakeholders before the meetings on key themes and questions, putting together presentations for meetings, answering post-visit regulatory letters and tracking remediation items
- Coordination of all ad-hoc information requests from the US regulators related to market/ liquidity risk including review of final responses for accuracy and messaging prior to regulatory submission
- Keep up to date with new US regulations related to market/ liquidity risk management
- Analysis of new US regulations related to market/ liquidity risk; include assessment of impact on CRO’s risk processes
- Review annual self-assessments against Federal Reserve and SEC rules related to market risk, liquidity, and stress testing
- Prepare and participate in regular briefing on regulatory market risk and liquidity interactions and commitments with CRO management
86
Financial Crimes Regulatory Exam & Audit Coordinator Resume Examples & Samples
- Have 7+ years of financial services preferably at a large/complex financial institution or law firm and/or regulatory experience
- Possess a strong understanding of the financial markets and banking, including product based knowledge
- Maintain awareness of current anti-money laundering laws, rules and regulations
- Be able to interact with various areas of the Firm and be willing to receive and apply feedback on work product from supervisor(s)
- Possess strong organizational, analytical thinking and critical reasoning skills
- Have the ability to interact in a mature and professional manner with a variety of individuals within the AML team and across the organization
- Be an enthusiastic team player who is also comfortable working individually
87
Regulatory Control Project Manager Resume Examples & Samples
- Address issues noted by regulators and auditors
- Remediation of production matters in Operations Control purview
- Facilitate the management and governance of projects meetings and working groups
- Champion upcoming regulations and lead key elements of addressing the regulation
- Identify and develop controls to address any gaps in the regulatory reporting framework at Citi
- Identifies key project risks, whether stated or not, and manage to resolution or escalate accordingly
- Assists in budget management, including creation of project budget estimates and monitoring burn rates
- 5-10 years in financial services experience. Citi experience a plus
- Experience in leading initiatives in Middle Office, Operations or Operations Control at a broker/dealer is a must. Consulting experience with a major consulting firm is a plus
- Experience in collecting, defining and documenting business and technology requirements, test plans and other project management artifacts
- Experienced in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements
- Experience in working across technology and business projects and managing inter-dependencies between the two
88
VP Risk Regulatory Liaison Resume Examples & Samples
- Direct interaction with US regulators, sometimes acting as a Risk representative
- Coordinate FRB, SEC, FINRA monthly meetings and submissions
- Coordinate regulator exams, including preparing relevant documentation, coordinating submissions and briefing Risk participants
- Dealing with ad-hoc queries from regulators, risk managers and other departments
- Liaising with other departments in the bank for regulatory purposes
- Identifying and proposing changes to enhance the current processes and controls
- Keeping up to date with new regulation and analysis of its impact on Risk
- Familiarity with the quantification of Regulatory/Economic Capital and RWAs
- Familiarity with Basel rules, especially B2.5
- Experience with market risk controls and governance in a US banking environment
- Experience working with regulators
- High level knowledge of Credit and Counterparty Risk regulatory and governance requirements
- Ability to work within tight deadlines across multiple projects and tasks
- Ability to take ownership and responsibility of his/her tasks and projects with minimal guidance
- Ability to organise and run meetings on complex topics, lead discussion sessions and take ownership of deliverables
- Ability to present detailed, complex topics to senior management
- Proficiency in Excel (including data manipulation) and Powerpoint
- Ability to work without close supervision
- Confident manner
- Innate curiosity in financial regulation and legislation
89
Enterprise Solutions Regulatory Data Business Analyst Resume Examples & Samples
- Excellent interpersonal, oral and written communication skills
- Self-motivated and committed
- Ability to support the work of the team and motivate others inside and outside of the team
- Ability to write succinctly yet provide low-level detail when needed
- Ability to effectively frame and organise information, problems and solutions, and tailor it towards various audiences
- Ability to derive requirements from business stakeholders
90
Senior Regulatory Relationship Manager Resume Examples & Samples
- Provide leadership and guidance to Senior Management or Exam Manager to develop a strategy/plan for responding to regulatory inquiries or regulatory activity and providing any requested materials (with focus on accountability)
- Work with business leaders to ensure all individuals involved are prepared for their interactions with Regulators
- Work with Senior Management and other stakeholders to prepare for meetings with Regulators
- Coordinate within the RLO to ensure all meetings are properly scheduled, information is provided in a timely manner and other logistical considerations are completed to the regulator's expectations
- The candidate will interact with very senior individuals in the institution and therefore the individual must demonstrate a high degree of professionalism at all times. The ability to develop strong relationships and communicate clearly and concisely is a key requirement of this role. Individuals may be expected to travel, as may be required to accommodate regulatory activity
- A minimum of 7 years relevant experience working in the banking or securities industry, as a regulator, in a role directly interacting with regulators, or as an auditor in the field of IT or IA is highly preferred
- A minimum bachelors degree is required. Applicable certifications for the area of responsibility are a plus, but not required (example, CISA, CIA, other IT related certificates)
- Regulatory knowledge - Must have an understanding of regulatory processes and activities and an understanding of regulatory requirements applicable to the areas assigned
- Business knowledge - Must have a solid understanding of key business policies, products, processes systems and roles and a general ability to understand business discussions with regulators; Must be highly organized
- Relationship Management - Demonstrate a proven an ability to build trust and credibility through communication, execution, actions and presence. Must be highly professional in presence and communication
- Negotiation Skills - Has ability to influence senior management and others through use of compelling facts, thought-provoking discussion and logic. Ability to use diplomacy and tact to resolve differing views
- Analytical Skills - Has an ability to "connect the dots" and critically analyze situations, recommend effective solutions to problems and identify or anticipate regulatory concerns; ability to obtain an understanding of the internal IT infrastructure; ability to gain an understanding of Internal Audit structure and coverage areas
- Teamwork - Must be able to work well across diverse teams of individuals. Willingness to assist other team members, as needed
91
Regulatory Program Support Associate Resume Examples & Samples
- Strong organizational skills. Prioritizes and manages multiple priorities and meeting deadlines
- Intermediate to advanced Microsoft Office Applications (MS Access, MS Project, Powerpoint, Word, Excel, Outlook)
- Business process redesign experience
92
Risk / Regulatory Senior Business Analyst Resume Examples & Samples
- Review documentation, existing procedures, and processes and recommend where automation or improved processes can be implemented
- Design/develop new business processes and procedures supporting regulatory requirements
- Identify impact of changes and processes on business; facilitate acceptance of change through training and communication
- Determine and document business requirements; work with technology to formulate and implement solutions
- Manage conflicts, issues and changes to requirements in order to ensure stakeholders and the project team that they are in agreement on the solution scope and make sure the requirements are communicated for current and future use
- Create test plans and test scripts for system and user acceptance testing. Assist business area with user acceptance testing process
- Assist project manager with project tracking, status reporting, issues resolution, and risk management, as needed
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Compliance / Regulatory Assurance Manager Resume Examples & Samples
- Strong team management skills
- Ability to analyze regulatory requirements and interpret in a practical manner across a range of complex products, businesses and locations
- Ability to understand complex products, regulations, issues and systems quickly
- Ability to effectively ‘troubleshoot’ potential weaknesses in a regulatory control framework and identify practical and commercial solutions
- Strong and effective influencing and negotiating skills
- Ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff and the business
- Ability to work to deadlines whilst maintaining a high degree of accuracy and quality; handle multiple tasks and prioritize effectively
- A keen attention to detail as well as an ability to view the bigger picture
- A strong commitment to continuous improvement
- Self directed, with the ability to proactively identify and analyze problems, and propose viable solutions
94
Senior Medical / Regulatory Advisor Resume Examples & Samples
- Liposome development experience in regulatory pathway, such as Thermosensitive liposomal doxorubine, Vinorelbine Liposomes, Liposomal amphotericin, Paclitaxel albumin nanoparticles
- Senior medical/regulatory advisor experience
- Experience with Liposomal Doxorubicin HCL for injection
95
Regulatory Tracker, Legal Resume Examples & Samples
- Managing senior relationships with Regulators
- Engaging with key regulators to optimise outcomes for Barclays
- Proactive and ongoing management of select internal change projects and regulatory reviews, including any associated interaction, e.g., interviews, document requests, presentations
- Developing and communicating insights on regulatory relationships internally and externally
- Acting as thought leaders on regulatory developments and their application to Barclays
- Knowledge of banking business and products
- Understanding of regulatory structures across Barclays footprint
- Comfortable working with large and complex data sets
- Strong Microsoft office skills, in particular advanced Microsoft Excel
- Strong analytical skills, can absorb issues quickly
- Exhibits discretion when required of sensitive regulatory information
- Self-starter and ability to work at a fast pace while maintaining accuracy
- Ability to multi-task, turnaround requests quickly and get things done
96
Regulatory Review Officer Resume Examples & Samples
- Responsible for all aspects of project setup and implementation of this to be / newly formed function
- Central hub for all regulatory rules that are issued (ex. Fed SR letters)
- Mandate focuses on analysis of the applicability of new rules to CS. If applicable, assigning ownership and ensuring that self-assessments are completed and any gaps remediated. It is expected that the position will be able to provide real time analysis of proposals as well as final agency actions and then work with the impacted parts of the firm either on regulatory responses or implementation
- Establishing strong internal relationships with key personnel within Credit Suisse and other subject matter experts
- Initially, develop project plan and implement function, in partnership with US Engagement/Governance Lead
- Develop full understanding / sourcing of regional regulatory rules and guidance
- Identifying and escalating key themes and potential risks related to regulatory rules
- Tracking and monitoring all aspects of regulatory rule issuances
- Identifying owners for all rules and ensuring that self-assessments are completed
- Reviewing gaps against self-assessment and tracking remediation of these gaps to the point of full implementation
- Knowledge of relevant regulatory and administrative processes
- Prior legal experience required; JD preferred
- Active and current knowledge of financials services regulatory issues
- General business analysis and problem solving skills
- Ability to establish and maintain positive work relationships with peers, management, key stakeholders and clients
97
Sec Processing Rep-regulatory Officer Resume Examples & Samples
- The role is based within AI Operations in Ireland
- Document the AI investor base for US Tax purposes in line with Citi’s obligations under Chapter 61
- The management of the new account opening policy (NADD) for clients that have signed FATCA contracts
- Review account documentation for completeness and track the time frame within which a GIIN must be provided
- Where incomplete or invalid documentation is provided the accounts subscription trade will not be processed
- Validate documentation by confirming that the documentation is complete and reviewing the documentation against all other information to make sure the tax claim is consistent
- Investor accounts will be monitored for changes in circumstances that may change the FATCA status or require additional documentation to verify a FATCA status
- Provide MIS each month detailing FATCA status of investors. This will include details of document requests made and the status of such requests
- Document investors under the UK CDOT service offering
- Provide oversight function in relation to AIFMD service offering
- Exposure to other business partners internally
- Exposure to a broad range of fund types and clients
- Experience in the Transfer Agency field is essential
- Interpretation of regulations affecting the AI Business
- Understanding of FATCA regulations desired but not essential
- Excellent client service skills is essential
- A high degree of accuracy and attention to detail is essential
- Written and oral communication skills to be of the highest professional standard at all times
- Strong working knowledge of Microsoft Office applications is essential
- Experience and knowledge of the core TA business systems
- Flexibility to work with rapidly-changing priorities and deadlines
- Strong business acumen and the ability to build partnerships with operational associates
- Ability to organize a demanding workload
- Ability to adhere to SLA’s, KPI’s within agreed deadlines
98
UK Regulatory Relations Manager Resume Examples & Samples
- Attending proactive engagement meetings, briefing senior management for regulatory engagement, and helping to formulate an appropriate approach for regulatory disclosure/communication
- Provide guidance and advice to the business, and support functions to react to, and deliver against regulatory initiatives/change
- Act in an advisory capacity in the execution and implementation of remedial actions and to provide guidance and strategy in relation to preparation for Deep Dives, Thematic Reviews, Assessments/Exams, and other ad hoc regulatory work
- Sound regulatory understanding, and preferably with experience from the Prudential Regulation Authority or Financial Conduct Authority
- Strong understanding of FCA's approach to conduct risk and the FCA/PRA supervisory regime
- Good industry experience in Pan-European Equities and can demonstrate understanding of equity markets, products/instruments and the conduct risk landscape
- Preferred candidate will have broad regulatory experience-both prudential and conduct and a good understanding of the overall EU regulatory landscape (particularly MiFID II, MiFIR)
99
Senior Regulatory Capital Auditor Resume Examples & Samples
- Bachelor’s in accounting, finance, business, or related field
- Three to five years of experience in the banking industry within a public accounting, risk management, Basel program, and/or internal audit function
- Experience in Basel or consumer credit risk processes preferred
- Execute reviews of the company’s framework, including economic capital, capital forecasting, stress testing, capital policy and governance
- Understand, identify, evaluate and document key risks and controls
- Use automated work papers and other department and company tools
100
Global Regulatory Advisory Resume Examples & Samples
- 6 - 8 years of general broker-dealer legal/investment advisory regulatory/compliance experience, preferably in an investment bank or law firm
- Legal degree from US accredited law school
- Good knowledge of applicable SEC, FINRA, MSRB, NYSE, CFTC and other federal securities and banking laws, rules and regulations
- Identifying global regulatory developments imacting various business lines and working to coordinate the implementation of any required changes to current policy / practice as a result of EMIR / Dodd Frank and other rulemaking
- Advising on all action planning deliverables for relevant rulemaking (including front and back office system developments/enhancements and monitoring/surveillance needed)
- Drafting and updating Power Point presentations and other senior management reports related to EMIR / Dodd Frank and other rulemaking
- Drafting and updating policies and procedures to conform to new regulations
- Drafting compliance alerts and training for relevant businesses on new requirements
- Required level of skills, abilities and knowledge
101
Risk Regulatory Advisory & Compliance Lead Resume Examples & Samples
- The Risk Chief Operating Office is responsible for the development and implementation of the Risk division's strategy and vision, working closely with their partners in the business, infrastructure and across the various Risk Divisions
- Ability to evaluate regulatory requirements for EMEA specifically for Risk areas of the firm (Credit Risk, Market Risk, Operational Risk, Liquidity Risk)
- Conducting risk assessments for specific areas
- Lead and participate in working groups to ensure project deliverables and deadlines are met
- Interface with senior management across Risk, other infrastructure groups and business
- Assist with updates to policies, procedures and training documents
- Must have experience in Financial Services
- Must have knowledge of Risk Management Functions and Regulatory Rules
- Highly organized, an excellent planner with attention to detail
- Ability to understand the broader picture and end-to-end processes, identify dependencies and potential road blocks
- Ability to work with both a high degree of independence and as part of a team
- Experience of delivering results in a fast moving dynamic environment with proven ability to adapt and be responsive to changing requirements
- Proficient in use of Excel, Powerpoint, MSWord, Sharepoint
102
Regulatory & Formulations Manager Resume Examples & Samples
- Feed Hygiene EU 183/2005
- EU Feed Marketing 767/2009
- Animal By-products EU 1069/2009 & EU 142/2011,
- S.I. No. 786 of 2007: animal remedies
103
Risk Governance Regulatory Liaison VP Resume Examples & Samples
- Coordinating regulatory submissions
- Quality assurance across a wide range of regulatory submissions
- Organising regulatory meetings
- Collaborate with a wide range of senior stakeholders across Risk Management and other departments for regulatory purposes
- Reviewing model changes and communicating their impact to management and regulators
- Identifying and proposing changes to enhance the current regulatory processes and controls
- Coordinating self-assessments
- Bachelors degree or equivalent, ideally in Finance, Economics or similar
- Ability to interpret and articulate regulatory rules and requirements
- Strong organization skills with the ability to multitask and prioritise; ability to work under pressure and to tight deadlines
- A highly motivated, energetic and proactive individual who takes ownership of his/her tasks and projects
104
Regulatory Complaint Consultant Resume Examples & Samples
- Three to five years of banking experience involving customer complaints and regulatory compliance
- Superb verbal and written communication skills
- Thorough knowledge of U.S. Bancorp products, services, operations, policies, and procedures
- Knowledge of legal and regulatory requirements governing bank products and services
- Strong collaboration and organizational skills
105
Regulatory Training & Process Analyst Resume Examples & Samples
- Support the Senior Regulatory Process & Training Manager with the roll out of training program for regulatory inquiry and examination response across HQ and the Business Units
- Collect and aggregate data from various cross functional stakeholders required for ad-hoc regulatory reporting inquiries from the Federal Reserve relating to FR Y-10 and FR Y-6 as well as onsite exams
- Create and maintain framework for tracking and communicating status of open regulatory inquiry requests for the Legal Structure Reporting team
- Create and maintain metrics to track training program progress, identify shortcomings and escalate as needed
- Own and maintain central regulatory reporting response libraries
- Bachelors’ degree with 2+ years of regulatory reporting, operations, project management, change management, or business analyst experience
- Proven analytical, time management and organizational skills, including demonstrated ability to perform data analysis using Excel
- Strong data quality, governance and process skills
- Strong proficiency with Microsoft Office applications (Excel, PowerPoint, Word, Project)
- Must submit your application for employment through gecareers.com to be considered (Internals via COS)
- Must be willing to work out of an office in Norwalk, CT
- Must be willing to travel up to 5% of the time
- Experience supporting regulatory examinations and/or inquiries
- Financial services industry experience
- Strong oral and written communication skills; ability to navigate complex organizations with multiple stakeholders
- Experience using MS Office Visio
- Kknowledge of legal structure reporting including FR Y-10 and FR Y-
- Basic knowledge of legal entity structures
106
Technical Support Analyst Regulatory Systems Resume Examples & Samples
- Incident and problem management – troubleshooting and root cause analysis
- Application availability, maintenance and support – all layers of the architecture
- Change release and deployment of new modules, changes, upgrades, life cycle management
- Lead team to analyze, define, and document requirements for data, workflow, logical processes, hardware and operating system environment
- Consults with clients to prototype, refine, test and debug applications to meet client needs
- Interfaces with clients to provide ongoing project status
- Bachelor's Degree (or minimum 4 years of equivalent work experience) with minimum 2 years of IT experience Eligibility Requirements
- Must be willing to work out of an office in Van Buren Township, MI
- GE will only employ those who are legally authorized to work in the United States for this opening. Any offer of employment is conditioned upon the successful completion of a background investigation and drug screen
- Self-starter who can plan, organize and prioritize tasks under pressure, has the ability to deliver solutions quickly and can ‘think on your feet’ to determine short term and long term
- Knowledge and understanding of testing and deployment processes including Regression and Unit Testing. Must be able to support UAT and Release and Deployment activities
- Ability to work with multiple technical partners – ensuring an ‘accountable’ relationship model that monitors the day to day delivery of technical solutions - identifying, remediating and escalating poor support
- Must be able to quickly learn new technical concepts and comprehend functional purpose of the applications quickly
- Knowledge of IT controllership methodologies and standards; demonstrated experience of supporting applications or project execution in a regulated environment #DTR
107
Regulatory Capital Planning Manager Resume Examples & Samples
- Relevant Capital management experience in large financial institutions and/or bank regulated environments, with strong analytical focus
- Undergraduate degree in Finance, Economics, Statistics, or Risk Management with relevant experience
- In depth knowledge of statistical models and tools for economic capital estimation, capital allocation and portfolio management
- Strong understanding of credit business, credit markets, and credit-related models
- Knowledge of relevant regulatory requirements and expectations, in particular Basel II / III
- Knowledge of a variety of commercial and consumer loan and lease products
108
Senior Regulatory Validation & Quality Control Analyst Resume Examples & Samples
- 5+ years of audit or bank regulatory compliance experience
- Strong oral, written, interpersonal, and communication skills
- Background in mortgage servicing, default, foreclosure and government assistance regulatory laws and regulations, including Unfair or Deceptive or Abusive Acts or Practices (UDAAP)
- Accountable for and able to manage time effectively and work under minimal supervision both individually and as part of a team
- Basic knowledge of U.S. Bancorp operations, policies and procedures
109
Regulatory Validation & Quality Control Analyst Resume Examples & Samples
- Bachelor's Degree or equivalent
- 3+ years of audit or bank regulatory compliance experience
- Certified Internal Auditor (CIA) designation
- Ability to plan, analyze, and coordinate effectively
- Be able to travel- approximately 10%
110
Legal Counsel Ii Regulatory Monitoring Resume Examples & Samples
- Ability to interface successfully with senior management
- Knowledge of the areas of expertise including technical knowledge
- Admission to a state bar/J.D degree from accredited law school/College degree
111
Senior Market Risk & Ccar Regulatory Subject Matter Expert Resume Examples & Samples
- Provision of expert advice on all rules and guidance related to Federal Reserve’s IHC Market Risk Model approval, SEC ANC Market Risk model approval, & CCAR. This include setting the scope of all CRO related regulatory requirements for CCAR including underlying rules, guidance notes (e.g., SR Letters) and Federal Reserve’s view of best practice
- Management of the application packs related to Federal Reserve & SEC Market Risk Model approvals, including advice on structure of the application pack and critical review of content
- Management of the regular reporting packs on Federal Reserve & SEC Market Risk model performance after model approval has been achieved, including critical review of content
- Management of regulatory visits around market risk models and CCAR including setting agendas, briefing key stakeholders before the meetings on key issues, writing presentations, answering post-visit regulatory letters and tracking remediation items. This covers both the application process, and model maintenance process after model approval has been achieved and liaising with the CFO Capital Management team to ensure consistency of CRO responses with other non-CRO sections of CCAR
- Participate in US related market risk model approval governance meetings, and provide view on whether any model changes meet US regulatory expectations
- Coordination of all ad-hoc information requests from the Federal Reserve & SEC related to Market Risk model approvals, including critical review of content, and CCAR
- Analysis of new US regulations related to Market Risk; include assessment of impact on CRO’s risk processes
- Review annual self-assessments against Federal Reserve and SEC rules related to Market Risk, CCAR, and stress testing
- Prepare and participate in regular briefing on regulatory market risk and CCAR interactions and commitments with CRO management
112
CIB & F&BM Prudential Policy Regulatory Model Governance Lead VP Resume Examples & Samples
- Chair working groups set up for the governance of our IMA and IMM model permissions and escalate any issues to the JPMS plc Market Risk Model Committee and JPMS plc Credit Risk Model Committee. Also act as secretariat at these committees
- Coordinate with key stakeholders the generation of required regular capital model associated reporting to the PRA, as well as coordinate responses to any queries from the PRA requiring feedback
- Assist the EMEA Prudential Policy team with any policy queries being raised regarding capital models
113
Pw C Legal Manager Financial Services Regulatory Litigator Resume Examples & Samples
- Key EU directives and proposed directives
- FCA regulation and compliance
- Global banking & capital markets and/or asset management sector experience
- Regulation and contractual arrangements applicable to fund management businesses
- Perimeter issues, permissions for regulated activities and FSA/FCA authorisation applications
- Financial promotion issues
- Collective investment schemes
- Section 166 actions under FSMA and/or other enforcement related experience
- Implications of the Dodd-Frank Act for non-US investment advisors
114
Assistant VP of Regulatory Resume Examples & Samples
- 5+ years of previous work experience; 2+ years of Audit experience with a Big 4 or mid-tier firm
- Bachelor's Degree in related field
- Strong understanding of Compliance, Risk Analysis and Internal Controls
- Solid accounting skills
- Sarbanes-Oxley 404 background
- Great interpersonal skills
- Excellent communication skills (written and verbal)
- Strong attention to detail
- Highly organized
- CPA designation
115
Analyst, Regulatory Assurance Resume Examples & Samples
- Conducting regulatory assurance reviews of key areas identified by the annual risk assessment process, Compliance management, other areas of the Risk Management Group and the Business
- Communicating the results of reviews to senior management; and
- The ability to develop relationships across various stakeholders, including local and regional Compliance staff and the business
- A keen attention to detail as well as an ability to view the bigger picture; and
- Self-direction with a strong commitment to continuous self improvement
- If you possess relevant experience and a commitment to delivering high quality outcomes, please apply by following the link. For a confidential discussion please contact Marion Harris on (02) 8237 7833
116
Regulatory Assurance Analyst Resume Examples & Samples
- Managing the execution and conduct of regulatory assurance reviews of key areas identified by the risk assessment process, regional Compliance management, other areas of the Risk Management Group and the Business
- Helping develop and implement regional strategy including governance, planning, policy, procedures and training
- Continually identifying efficiencies and driving initiatives to achieve greater compliance and business oriented results
- Minimum 4 years relevant experience
- Effective interpersonal skills and the ability to negotiate at all levels
- Have an ability to analyse regulatory requirements and interpret in a practical manner across a range of complex products, businesses and locations
- Have an ability to understand complex products, regulations, issues and systems quickly
- Have an ability to effectively 'troubleshoot' potential weaknesses in a regulatory control framework and identify practical and commercial solutions
- Have the ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff and the business
- Be self directed, with the ability to proactively identify and analyse problems, and propose viable solutions
- Have good organisation skills; and
- Demonstrate tenacity and flexibility
117
Lead Rules & Regulatory Outreach Specialist Resume Examples & Samples
- Collaborate with the various functional areas of Market Regulation in Chicago and New York to identify new rules and advisories that are necessary to address specific regulatory issues, as well as those that need to be clarified or otherwise updated in the context of the current business environment
- Develop and execute initiatives to enhance the depth and breadth of knowledge of Market Regulation staff with respect to exchange rules
- Make decisions regarding implementation methods for agreed upon outreach initiatives
- Make decisions regarding appropriate guidance for customers with respect to inquiries regarding exchange rules and interpretations
118
Asst VP Marketing Regulatory Review Resume Examples & Samples
- Compile reporting of department metrics including key risk indicators and key performance indicators for the department
- Handle advisor and office escalations in a consultative, solution focused manner
- Assist with MRR Quality Control process
- Create communications to our advisors regarding MRR
- Lead remediation efforts for regulatory matters
119
Analyst Marketing Regulatory Review Resume Examples & Samples
- Research and address instances where firm’s policies regarding communications with the public are not being followed
- Serve as a resource to Advisors and Home Office Staff on communications with the public
- The Series 7 and Series 24 are required, other licenses are a plus
- Advertising/Marketing compliance review experience preferred
- Strong working knowledge of Excel, Word, and Access
- Must have excellent customer service skills and be able to communicate effectively
120
Regulatory Document Specialist Resume Examples & Samples
- Associate's Degree, with at least one year experience in clinical research including a working knowledge of clinical/regulatory development process; study start-up experience preferred
- Good understanding of TMF document types and ability to distinguish and segment these documents
- Substantial knowledge of ICH, GCP and FDA regulations
- Prior experience with electronic document management systems plus scanning and imaging experience
- Proven ability to work unilaterally or within teams and deliver on commitments
- Proficient in Microsoft Office and the use of general office equipment
- Ability to multi-task and prioritize multiple high-priority projects
- Detail oriented with superior organization and documentation skills
121
Credit Risk Regulatory Controllers Resume Examples & Samples
- Daily analytical review of the capital exposures and charges on products across various legal entities
- Production of daily Basel 3 Regulatory Capital reporting
- Production of daily Large Exposure monitoring (‘LEMS’)
- Monthly & quarterly internal and external regulatory reporting
- Liaison with the capital reporting team, business unit controllers, internal audit, operations, front office and credit risk ops to investigate and validate variances in capital charges
- Build a wider array of product knowledge including listed & OTC Derivatives, Secured Financing Transactions (e.g.: Stock Loan & Repo), Intercompany, Omni, Cash and Loans
- Understand and interpret Capital Requirements Regulations (‘the rulebook’)
122
Head of Surveillance & Regulatory Enquiries Resume Examples & Samples
- Experience of surveillance, ISG business preferred
- Experience of working in investment banking, exchange or trading platform or similar preferred
- Experience of leading a team and will be asked to manage a team including some senior / experienced individuals
- Ability to lead a team covering a diverse set of tasks
- Ability to analyse surveillance models to ensure their logic is coherent and effective, and where necessary devise creative solutions to problems
- Ability to communicate effectively with variety of stakeholders within Compliance, the Business, peer firms and regulators
- Understanding of securities
- Ability to ensure delivery of projects
123
Regulatory / Supervision Analyst Resume Examples & Samples
- Report to the Head of Regulatory Reporting, manage the day to day process for U.S. Trade Reporting obligations such as OATS, TRF (i.e. ACT), EBS, 605/606, TRACE, LOPR, CAT, ATS and Dodd Frank
- Involvement in other regulatory reporting requirements related to TRACE, Equity Derivatives, CAT, ATS reporting, 605/606, Dodd Frank reporting
- Responsible to ensure complete, accurate and timely reporting to regulators such as FINRA and the SEC
124
Regulatory Adviser Resume Examples & Samples
- Scrutinising the quality of regulated and self-regulated qualifications, both nationally and internationally, and * monitoring business practice in Pearson UK. A background in qualifications development, assessment or education regulation will be a useful starting point for applicants. However training will be offered to a suitable candidate who shows aptitude for the role
- To support the on-going improvement of Pearson qualifications, including processes and practices, and to identify areas for improvement
- To contribute to the development of an annual risk-based work plan for the team
- To contribute to the design, build and maintenance of regulatory logs, and report on these as directed, (these include the scrutiny of qualifications, risks and issues, and associated metrics and KPIs)
- To lead on projects, as directed, and produce regulatory reports in support of our on-going recognition against Ofqual’s General Conditions of Recognition, SQA Principles, and other regulatory requirements as appropriate
- Provide regulatory advice, guidance, support (and training) across the business, on regulatory issues within the team’s areas of expertise
- Communicate effectively and professionally within the team and in the wider business
- To establish and maintain effective working relationships across the business
- Represent Pearson in a variety of internal and external forums, as required
- Undertake the lead or support of specific projects as directed by Head of Regulation Policy and Monitoring (RPM) and Regulatory Advice Manager, including wider Business Improvement and Regulation activity
- The post holder will also support the broader work of Business Improvement and Regulation by working across the various functions of the division, including investigations into cases of appeal, malpractice, maladministration and breaches of security, regulatory monitoring, Business Continuity and Data Protection, when required to do so
- To contribute to monitoring qualification developments in a planned programme of activity against key criteria, ensuring that procedures and quality standards are maintained
- Producing reports and other data to support monitoring, highlighting key areas for improvement
- To contribute to the annual monitoring plan, with particular focus on qualifications, both UK and Internationally
- To provide a customer-focused regulatory service to the team’s internal customers
- To support the monitoring of Pearson’s regulatory compliance against agreed risk criteria, and provide regulatory advice, guidance (and training) across the company
- To log expert advice and guidance on regulatory requirements to other key departments
- To undertake specified services in the team to support high quality regulatory requirements, such as framework and qualifications development and compliance, credit and levelling, monitoring of marketing and publishing activity
- To lead on specific projects relating to Pearson Education Limited’s regulatory practice
- To contribute to the development of a high performing team
- To establish and maintain constructive working relationships within the Quality, Standards and Research Division, across the business with key stakeholders, and beyond
- To contribute to an effective team communication strategy, as directed by the RAM, across the business, enabling clear messages from and to the team, encapsulated in regulatory advice and guidance issued, KPIs and other metrics the team develops. Candidate Profile The post-holder will demonstrate
- Drive and energy, including a willingness to learn new skills and adapt to change
- Ability to influence internal stakeholders to bring about demonstrable improvements
- Desire to maximise own potential through personal development
- Collaborative working to achieve goals
- A creative and innovative approach to work
125
Regulatory Resume Examples & Samples
- Working on short- and long-term engagements to support federal clients whose responsibilities are to: develop policies and craft regulations that implement a desired policy; explain the rationale of the rulemaking to interested parties; and implement the regulatory requirements
- Immersing rapidly in varied projects for multiple clients
- Analyzing public comments and writing comment summaries on controversial projects
- Managing project teams
- Assist senior managers on business development
- U.S. citizenship is required; security clearances are a plus
- Experience with federal regulation development
- Understanding the Federal regulatory development process, including key executive orders and OMB orders and circulars
- JD, MPP, or equivalent
- General personal computer mastery
- At least 2-3 years of experience working on projects related to federal regulatory programs and issues and involving research, analysis, and writing
- Excellent verbal, interpersonal and written communication skills
- Strong analytical, problem-solving and decision making capabilities
- Team player with the ability to work in a fast-paced environment
126
Regulatory Resume Examples & Samples
- Collecting and analyzing data
- Reviewing literature and other technical reports
- Conducting interviews and surveys
- Solving quantitative and qualitative problems
- Developing recommendations
- Drafting reports and presentations
- Interacting with clients
- Bachelor's degree in business administration, economics, engineering, environmental management, law, natural or physical science, public policy, urban planning, or related subjects
- Minimum GPA of 3.0
- Advanced experience in Excel, Access, and Word
- Strong analytical and organizational skills
- Ability to prioritize and work on multiple projects under strict deadlines in a fast-paced environment
- Excellent written, oral, and interpersonal communications skills
- Strong quantitative and quantitative skills
127
Regulatory Labeling Lead-rare Diseases Resume Examples & Samples
- 70% Implements label development and maintains the labeling process throughout the life of the product (development and marketed product)
- Manages and facilitates development and review of core and US labeling via the Shire labeling teams
- Bachelor's degree in a scientific discipline or closely related field is preferred
- 5 -8 years of regulatory or related experience in the pharmaceutical/biotechnology industry. 2-4 years of direct experience desired
- Must have a detailed understanding of pharmaceutical drug development and global regulations pertaining to labeling
- Expertise in developing company core labeling
- Knowledge of global guidances relevant to labeling, drug development, and commercialization of prescription medicines
- Understanding of US requirements and guidance for legacy and PLR labels and ability to communicate and resolve issues during labeling reviews and conversations
- Understanding of XML and Electronic Document Management Systems to a sufficient level to support labeling documentation
128
Regional Regulatory Strategist Resume Examples & Samples
- With supervision as appropriate, function as liaison between FDA and company for assigned projects
- The planning, coordination , organization and preparation of complete high quality regulatory submissions for assigned products, including both pre-approval and postmarketing submissions
- Ensuring regulatory compliance for all assigned responsibilites
- Responsible for the implemention of regulatory strategies for the development and maintenance of assigned product or products
- Maintain up-to-date knowledge and expertise of FDA regulations/guidance documents, and ICH guidelines
- 40% Prepare, compile, review/qualilty control and process regulatory submissions including INDs, BLA, NDA, amendments/supplements, annual reports, study protocols, study reports, investigator brochures, safety reports, etc
- BA/B.S in a scientific, healthcare or related field or equivalent experience. Advanced degree preferred, but not required
- 5 -10 years of biopharmaceutical experience with emphasis in regulatory affairs and drug development
- Knowledge of FDA regulations and guidelines on drug development and the approval process for NDA/BLA and postmarketing supplements
- Strong written/verbal communication skills
129
Regulatory Product License Support Lead Resume Examples & Samples
- 40% of Time
- 5+ years of project management experience
- 3-5 years of line management experience
130
ICG Risk Policy & Regulatory Reviews Senior Manager Resume Examples & Samples
- Manage Regulatory Reviews working with individual in each ICG Risk team to ensure consistency across ICG and within Citi framework
- With ICG Risk Global Control risk manager, assess outstanding MRA/Issues from Regulators, Internal Audit and FCR to determine trends and common themes. Escalate as needed and employ strategic and tactical solutions
- Responsible to present new policy and policy revisions to ICG CRO and ICG senior risk management as well as seniors at the Citi level for their review and approval
- Manage working groups, as required, to develop new policy for significant business and cultural changes
- Direct responsibility and liaison with senior managers across ICG Global Risk and the businesses
- Responsible for continuous improvement and streamlining of the policy manual
- Ownership and development of new policies or changes to existing policies
- Maintain Communication tools including Websites and SharePoint sites for ICG Risk Policy Office
- Maintain the ICG Credit Officer and Senior Credit Officer nomination and maintenance process
- 10 years of Credit and Risk Management Lending Experience
- Advanced writing ability, including the ability to translate Regulatory requirements into risk policy and interpret risk managements guidance into policy rules
- Ability to manage direct and indirect staff
- Problem solving, negotiation/influence and analytical skills
131
Senior Regulatory Capital Auditor Internal Audit Group Resume Examples & Samples
- 2+ years of banking/risk or public accounting experience
- Bachelor's Degree in a related subject
- Detail-oriented
- Basel or consumer credit risk experience
132
Asset Management Investment Management Finance Regulatory Assistant Controller Associate Resume Examples & Samples
- Play key role in refreshing the ICAAP document, liaising with Risk and Compliance, performing forecasts and stress tests in accordance with board mandated stresses
- Play key coordination role in the US Recovery and Resolution documentation
- Preparation of all FCA solo capital adequacy returns for review by senior management, ensuring effective control and review around these returns
- Preparation of the consolidated regulatory position, reporting balance sheet, profit and loss account and capital adequacy calculations. Involves liaison with both UK and Luxembourg counterparts to ensure capital requirements precisely calculated and submitted in COREP template format via Axiom
- Currently, preparation of consolidated statutory accounts and liaison with external auditors forms part of this role, though this function is being reviewed
- Qualified or experienced part qualified accountant, ACA preferred
- Strong PC skills (Excel and Word)
- Ability to carry out complex tasks under considerable time pressure, whilst maintaining a high level of accuracy and quality
- Previous experience of general ledger control
- Previous prudential regulatory exposure desirable
133
Client Service & Regulatory Desk Supervisory Manager VP Private Bank Resume Examples & Samples
- Review of the errors, complaints, and process failures as these impact the Service team
- Interface with the Account Opening Team to resolve issues pertaining to client on-boarding
- Review and approve Reg 9 pre-acceptance forms as applicable
- Oversee the MiFID Opt-up processes and sign off on client assessments
- Provide oversight of the Gifts policy, ensuring that incoming and outgoing gifts are compliant
- Reviewing client eligibility criteria to ensure appropriate cross border practices
- Conduct email surveillance and ensure appropriate escalation and follow-up
- Work with the SM Analyst to define appropriate Management Information and scorecards
- Participate in governance committees, control fora and management committees as required
- Perform change management in respect of changes in policies / procedures / processes where these relate to Service activities e.g. implementation and training on enhanced suitability framework; Money Transfer protocol; etc
- Liaise with Internal and External Audit as required
- Provide back-up to Market SMs as required in times of absence, high volume, unforeseen circumstances etc
134
Regulatory Systems Business Analyst Resume Examples & Samples
- Experience within a highly regulated field/domain (e.g. automotive, financial, health care)
- Experience with Agile or other iterative development methodology
- Able to lead and provide guidance to other business analysts on the team
- Large program experience, specifically with diverse teams and multiple technologies
- Broad understanding of programming languages
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Regulatory Response Analyst Resume Examples & Samples
- Assist with regulatory exams and inquiries as well as assist with the development and maintenance of written supervisory procedures
- Review and approve securities transactions for suitability and documentation, including variable annuities, mutual funds, equities, and alternative investments
- Project management, planning and issue resolution - This role will be relied upon to handle complex issues and aggressive deadlines
- In conjunction with the Regulatory Affairs and Litigation groups within the Legal Department, collect, analyze, and provide books and records for regulatory and litigation matters
- Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes
- Undergraduate degree in Business, Accounting, Finance or related discipline. Graduate degree a plus
- 4+ years of industry experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
- Series 7, 66 (or 63 and 65), 24 (or 9 and 10), 53 required (or the ability to obtain the S53 within 90 days)
- Series 4 and Life and Health Insurance License a plus
- Strong knowledge of FINRA, SEC, and State rules and regulations
- Knowledge of mutual funds, annuities, general securities, and other financial products
- Ability to develop compliance processes and strategies for effective supervision
- Ability to work in a fast paced/high volume environment and be flexible with work schedule
- Exceptional oral and written communication skills and the ability to independently draft letters and other documents
- Proficiency with all Microsoft applications, particularly, Excel, Word, Access, and PowerPoint
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Communication Regulatory Program Manager Resume Examples & Samples
- Manages and leads a program involving multiple functions and project teams to drive the engineering development and implementation process for a product or service offering
- Develops and directs development of schedules, critical deliverables, budget, resource allocation plan, and other support requirements for assigned program
- Manages activities of supporting project teams and internal development partners; ensures progress against established plan and makes determinations based on analysis of business information to alter or update schedule and resource allocation to meet product requirements and development schedule
- Communicates program progress, escalations, and issue analysis to product stakeholders; collaborates with management and internal manufacturing and development partners to recommend and implement changes to product, processes, or business practices to resolve escalated issues, produce solutions, and ensure adherence to budgets and established product roadmaps and schedules
- Drives innovation and integration of new technologies and quality initiatives into projects and activities in the manufacturing and/or engineering organization
- Minimum 6-10 years experience
- Deep understanding and proven record of worldwide compliance and certification such as CTIA/GCF/PTCRB/FCC/CE/RoHS Compliance
- Extensive experience with using project and program planning tools and software packages to create, manage, and track project results
- Demonstrated business acumen and successful experience managing all aspects of programs, including communicating with stakeholders and directing matrixed teams and resources
- Excellent written and verbal communication skills; mastery in English and local language
- Ability to effectively communicate program plans, proposals, and results, and negotiate options at senior management levels
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Regulatory Senior Engineer Resume Examples & Samples
- Strong ability in reading and understanding technical data
- Strong knowledge of regulatory requirements
- Strong troubleshooting and root cause analysis skills
- Strong project/program management skills
- Well communication skill in English, including reading, writing, listening and speaking
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Compliance Officer Fair Lending Regulatory Subject Matter Expert Resume Examples & Samples
- Advise/guide/partner with consumer lending/banking related business line management in the development of fair lending risk controls including first line of defense monitoring approaches and result reporting protocols
- Assist in regulatory and reputation strategic and targeted consumer and mortgage lending/banking related risk assessments, investigations, remediation plans, project plans, and analyze bank practices in the context of industry or regulatory events
- Validates data accuracy, tracks and reports results, prepares risk mitigation plans and identifies data criteria for analysis improvements
- Coordinate regulatory changes within affected business functions and operational areas and ensure that changes and controls are implemented to facilitate regulatory compliance
- Perform special projects, compile data and prepare reports for Senior Management and other personnel, as needed
- Lead efforts to identify and develop projects/initiatives which promote efficiencies and/or stronger control environments, including the centralization and automation of Fair Lending processes across lines of business
- Maintains a good working knowledge of the requirements of the Home Mortgage Disclosure Act (HMDA) to assist in preparation and maintenance of the loan application register (LAR)
- Coordinates with various departments within the Bank to resolve any inconsistencies in loan data and recommends changes as warranted that will ensure the efficiency and accuracy in reporting of HMDA data
- Assists in the update of HMDA policies and procedures as warranted
- Reports any potential concerns about non-compliance with HMDA regulatory requirements
- Reg B experience preferred/desired
- Bachelor’s Degree or equivalent relevant work experience
- 5 years bank processing (i.e., Back Office) experience
- 5 – 7 years of previous experience working with bank compliance/regulatory issues
- General knowledge of BMO Harris Bank and its affiliated banks
- Strong independent research and learning skills
- Strong analytical skills and the ability identity legal/regulatory issues and potential solutions to address risks
- Knowledge of loan origination system(s) as well as other software/systems used by the Bank, Consumer Direct Lending and Mortgage Lending
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Global Regulatory Lead Resume Examples & Samples
- 25%
- Designs and implements regulatory strategies to obtain, maintain product investigative and marketing applications, and extend product registrations. Single point of contact and accountability for regulatory and leads the regulatory subteams as well as represents regulatory on key internal decision making teams such as PSTs and GDTs
- Functions as the global regulatory lead for assigned projects, working with a cross-departmental group of regulators to drive global regulatory strategies
- Provides proactive guidance to internal groups based on technical and regulatory knowledge towards development of strategic and tactical plans. Identify and assess regulatory risks associated with product development for assigned projects
- Leads the development of strategic plans and tactical implementation leading to the creation and submission of Regulatory documents, e.g., INDs, NDAs/BLAs, CTAs, MAAs, supplemental NDAs/BLAs and other relevant regulatory filings
- Actively works with Regulatory Operations and Regulatory CMC to ensure alignment of regulatory implementation associated with submissions. Works with Shire Global Regulatory Policy & Intelligence on matters of regulatory policy relevant to Shire
- Serves as corporate liaison with regulatory Health Authority (HA) agencies to develop effective professional relationships as well as our positive company image
- Provides guidance to all appropriate departments in Shire to assure compliance with applicable regulations
- Remains knowledgeable about current regulations and guidance, interprets and notifies appropriate personnel
- Effectively leads key meetings with HAs to ensure full discussion of issues and opportunities
- Actively trains/mentors junior staff; provides broader guidance on regulatory interpretation to Shire staff
- Makes recommendations for regulatory department operating procedures. May be responsible for creating and reviewing SOPs as needed
- Supervises (directly or indirectly) a changing number of Regulatory Affairs Managers, Associates and/or Submissions Assistants
- BS, BSc, MS, MSc, PhD, PharmD, J.D., M.D. in science or healthcare preferred or equivalent relevant experience
- Generally has at least 8-10 years of Regulatory Affairs or equivalent experience. The regulatory experience should be broad to ensure appropriate leadership and mentoring for regulatory staff within Shire
- 2-4 years of management experience; or an equivalent combination of education and experience
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Analyst Investment Regulatory Governance Resume Examples & Samples
- Producing the regulatory compliance and investment monitoring reports to ensure that AMP's investment regulatory obligations are met
- Assisting with the monitoring of the publication of consistent calculated investment related data under Section 29QC obligations
- Assisting with the oversight of the investment regulatory governance framework
- Collating and reporting upon market and industry trends
- Building key relationships within AMP Capital, Investment Control, Trustee Services, Superannuation and Investment Platforms, and Insurance team to facilitate effective business outcomes
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Institutional Equity Division Regulatory Control Group Analyst Resume Examples & Samples
- Interact with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and to obtain necessary sign-offs
- Lead projects related to the supervisory platform and the information security program
- Continually monitor the requirements of and compliance with applicable rules and regulations
- Help identify, design and implement new reports to ensure that the Firm keeps pace with the evolving Regulatory environment
- Establish relationships and work closely with IED Risk Management, trading IT group, Operations and Compliance
- Assist with application approvals and reviews of various applications owned and accessed by IED sales and trading desks
- 2-5 years with a background in Compliance, Risk Management and/or Trading Support focusing on sales and trading issues
- Exceptional organizational skills and a high degree of attention to detail
- Proven ability to take ideas forward and to challenge others with integrity and maturity
- Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)
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VP Regulatory Stress Testing Resume Examples & Samples
- Investigate and analyse new requirements from risk managers and other stakeholders
- Work on regulatory stress testing initiatives like CCAR, EBA, and PRA alongside internal stress testing requirements
- Work on delivery of Stress Testing requirements in space of analytics and reporting of results which may need understanding of front to back business processes and relevant regulations
- Understand and document the requirements, verify IT functional specifications, perform quantitative impact analysis and assist in UAT
- Organise and lead meetings to gather requirements
- Maintain up to date knowledge on risking methodologies, system infrastructure and capabilities and interdependencies in the Bank
- Represent the team in various working groups and communicate timelines, progress and dependencies to other parties in the Bank
- Work as a member of an effective team, contributing to ad hoc requests without losing focus on primary objectives
- Degree in quantitative discipline from a top institution or equivalent
- 6+ years subject matter expertise in areas covering Credit Risk or Market Risk, more specifically around Counterparty Credit Risk Exposure calculations, VaR and Regulations like Basel III etc
- 6+ years Strong quantitative experience covering calculations of measures under Monte Carlo e.g. EE, PFE, RWA etc
- 6+ years Business analysis experience with an investment bank, consultancy or trading operation (e.g. trading arm of corporate, asset manager, hedge fund, etc)
- Good product knowledge especially in the areas of IR and FX
- Front to back knowledge of business processes
- Understanding and experience in project lifecycle techniques
- Data analysis skills (Excel / Access / VBA / SQL)
- Clear and effective verbal and written communication skills
- Proven ability to deliver high quality and timely project work
- Financial qualifications like CFA, FRM, PRMIA, CQF etc. highly desirable
- Knowledge of OTC derivatives pricing
- Understanding of CVA in Basel III context
- Stress Testing & Back testing
- Experience of working in credit or market risk control environments
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Senior Compliance Specialist Marketing Regulatory Review Resume Examples & Samples
- Data entry with strong attention to detail
- Assisting advisors navigation of online review and submission tool
- Opening and distributing the department's mail
- Filing and photocopying/scanning
- Outstanding time management and communication skills
- Optimal punctuality and attendance
- Enjoy working in a fast paced, detail oriented environment
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Regulatory Consulting Senior Resume Examples & Samples
- Bachelor's degree required; emphasis in accounting, economics or finance preferred
- CPA preferred. If not a CPA, must meet educational requirements to sit for the CPA exam as outlined by the Board of Accountancy in the state of your preferred office location required
- Minimum of 2 years of public accounting experience
- Accounting or consulting experience in the telecommunications industry preferred
- Must be highly motivated and experienced in managing multiple client engagements
- Demonstrated ability to build strong relationships internally and with clients
- Willingness to travel, with the potential of up to 50% of the year
- Proficiency in Excel and other Microsoft software
- Strong commitment to professional standards and ethics
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Assistant General Counsel Corporate & Investment Bank Regulatory Lawyer Resume Examples & Samples
- Become subject matter expert on certain laws and regulations; interpret laws and regulations
- Participate in development of library of laws/regulations applicable to CIB
- Summarize and report on new legal requirements and changes to existing laws/regulations
- Proficiency in PowerPoint, Excel, and MS-Access
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Regulatory Capital Management Resume Examples & Samples
- Develop strong working relationships across Front Office, Treasury, Risk and Finance to ensure alignment of priorities and to influence change/improvement
- Supporting Management Information requests
- Support ad hoc projects and data requests from regulators and internal clients
- Maintain expert knowledge of nature and direction of relevant business areas (especially around any commentary required or provided by relevant business area and key risk drivers of business)
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Risk Analyst Iv Regulatory Resume Examples & Samples
- Performs various functions under Regulatory Exam Management Program for KeyCorp including: Providing consultation and guidance to LOBs in preparation for regulatory exams; Leading exam preparation meetings, Managing physical and information security needs for regulators; Providing exam status updates to management; Maintaining regulatory exam templates and tools; Distribution of supervisory correspondence and Managing regulatory correspondence and records retention
- Manages select regulatory exams and/or supports other exam managers in their exam management duties
- Drafts correspondence to regulators for management’s review
- Manages requests for information from various regulatory agencies including: Determining response strategy, medium and format; Compiling and challenging content; and Ensuring timely delivery, following established protocols
- Oversees and monitors distribution of information to regulators, including regular reporting as well as Board of Directors and other committee materials, etc
- Monitors regulatory issue remediation, and prepares monthly status reports to senior management and governance committees, including ERM Committee and the Board of Directors
- Performs analysis of regulatory issues and reports on observations and trends
- Leverages GRC system for reporting and analysis of regulatory issues
- Ownership and oversight of development and maintenance of regulatory SharePoint site content and functionality
- Manages cadence for regular regulatory interactions and coordinates regulatory meetings
- Cultivates relationship with lead examiners, examiners-in-charge
- Interacts with examiners from various regulatory agencies with some level of influence
- Meets regularly with management at all levels to promote regulatory protocol awareness
- Facilitates monthly regulatory issues reconciliation activities with Risk Review Group and quarterly with regulatory agencies
- Facilitates closure process of regulatory issues, working with Risk Review Group and regulatory agencies
- Attends regulatory update meetings with senior management and/or executives and prepares and maintains meeting summaries and management updates
- 5-7 years of risk management or audit experience
- Regulatory experience
- Technology: Microsoft Office (Excel, PowerPoint and Word) and SharePoint
- Proven ability to effectively manage complex cross functional projects
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Regulatory Lead-complement TA Resume Examples & Samples
- Functions as the global regulatory lead for assigned projects, working with a cross-departmental group of regulators to drive global regulatory strategies
- Provides proactive guidance to internal groups based on technical and regulatory knowledge towards development of strategic and tactical plans. Identify and assess regulatory risks associated with product development for assigned projects
- Actively works with Regulatory Operations and Regulatory CMC to ensure alignment of regulatory implementation associated with submissions. Works with Shire Global Regulatory Policy & Intelligence on matters of regulatory policy relevant to Shire
- Serves as corporate liaison with regulatory Health Authority (HA) agencies to develop effective professional relationships as well as our positive company image
- Remains knowledgeable about current regulations and guidance, interprets and notifies appropriate personnel
- Actively trains/mentors junior staff; provides broader guidance on regulatory interpretation to Shire staff
- Makes recommendations for regulatory department operating procedures. May be responsible for creating and reviewing SOPs as needed
- Supervises (directly or indirectly) a changing number of Regulatory Affairs Managers, Associates and/or Submissions Assistants
- BS, BSc, MS, MSc, PhD, PharmD, J.D., M.D. in science or healthcare preferred or equivalent relevant experience
- Generally has at least 8-10 years of Regulatory Affairs or equivalent experience. The regulatory experience should be broad to ensure appropriate leadership and mentoring for regulatory staff within Shire
- 2-4 years of management experience; or an equivalent combination of education and experience
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Regulatory Technologies & IM Associate Director Resume Examples & Samples
- 45% - Drives R&D business systems-related activities across GRA
- Participate in governance committees overseeing R&D systems and budgets. Acts as GRA IT representative for all systems and technology requirements, liaising with all functions including R&D IT
- Implement technology strategies to support R&D for submissions
- Proactively leads Shire in formulating new technology and guidance
- Collaborates and provides advice on the structure and preparation of electronic regulatory submissions
- Collaborates and provides advice on regulatory specifications for submissions, and the ability of publishing tools and systems to support them
- Maintains up-to-date knowledge of global standards and procedures for regulatory submissions, including eCTD, SPL, EVMPD/IDMP, etc.; analyzes new and revised guidance, advises regulatory management of new requirements, and recommends course of action
- Collaborates on the approach for the application of expert knowledge of global regulatory requirements in developing systems or policies with all contributing functions that ensure submission compliance
- Partners with GRA management to ensure appropriate acquisition and deployment of resources across sites to support global activities
- Participates in setting the technical direction for the Regulatory IT team
- Ensures that GRA requirements for new/updated systems are appropriately communicated
- 40% - Drives technical support and standards for GRA business systems
- Provides technical support to GRA in the use and training for systems, and development and maintenance of the GRA SharePoint areas
- Support use of systems in daily submissions activities
- Support demand management and prioritization for IT-related activities across GRA and functional areas in order to maintain and improve global submission capabilities and their components
- Establishes, updates, implements, and provides guidance on Regulatory-required formats, templates, policies, standards, and procedures for regulatory submissions
- Manages and supports tools for R&D Submission and Registration
- Ensures that GRA requirements are incorporated and supported by both new systems and also upgraded to existing systems
- 15% - Other responsibilities
- Interviewing, hiring and training employees/consultants
- Planning, assigning and directing work
- Developing risk management plans and overseeing implementation of risk mitigation activities
- Bachelor's degree, preferably in a scientific and/or computer science field
- 8 - 10 years of pharmaceutical experience in a global regulatory environment including experience in global submission management
- 3 - 5 years of experience in electronic document management technology
- Knowledge of the requirements for electronic submissions to regulatory authorities. Experience in the preparation and submission of documents using regulatory/document management systems (e.g., Documentum®, FirstDocs®, CoreDossier®, EZSubs®) is highly preferred
- At least 5 years of technical and IT experience from both user support and strategic level, preferably within a corporate environment supporting multi-user systems
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Regulatory Technologies & IM Manager Resume Examples & Samples
- Bachelor's degree or related experience is required. Scientific and/or computer science field preferred
- 4 - 8 years of pharmaceutical experience in a global regulatory environment
- 1 - 3 years of experience in electronic document management technology
- Experience in a global submission management position within a company involved in the manufacture, testing and distribution of ethical pharmaceutical or biological
- Knowledge of the requirements for electronic submissions to regulatory authorities. Experience in the preparation and submission of documents using regulatory/document management systems (e.g. Documentum®, FirstDocs®,eCTDXpress, Validation tools) is highly preferred
- At least 1 - 3 years of technical and IT experience from both user support and strategic level, preferably within a corporate environment supporting multi-user systems
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Regulatory Process & Standards Manager Resume Examples & Samples
- 65% - Lead and contribute to development and update of GRA processes and standards
- 25% - Lead and contribute to GRA “special projects” for the continuous improvement of GRA
- 5-8 years of pharmaceutical experience in an R&D environment
152
State Regulatory / Legislative Consultant Resume Examples & Samples
- 2-5 years of experience in government relations, state government, or insurance related industry
- Knowledge of health insurance and/or health care issues
- Knowledge of legislative, regulatory and political process
- Strong preference for government background
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Regulatory Costing Analyst Resume Examples & Samples
- Learn about new products and services as well as emerging technologies
- Broaden your scope of Bell Canada and affiliate operations and regulatory implications
- Be involved directly in projects that shape the future of the telecommunications’ business environment
- Further develop your background in economic/financial related skills
- Conduct economic evaluations using various costing models
- Prepare regulatory cost studies for submission to the CRTC
- Conduct research and financial analyses to assess the implications of regulatory proposals
- Prepare Company submissions on a broad range of topics to the CRTC in support of cost filings
- Masters degree in Economics, Engineering, MBA or extensive experience in economics, finance and/or accounting-related work
- 1-3 years experience with costing and economic costing studies
- Exceptional analytical, data analysis and problem solving skills, with attention to detail
- Detailed knowledge of incremental costing and economic principles related to costing, including concepts of time value of money, and economic evaluators such as Net Present Value (NPV), payback period, rate of return, cost of capital etc
- Ability to lead cross-functional teams as well as work independently in developing cost and benefit cash flows and interpreting the results of economic models to determine their reasonableness
- Excellent communications and interpersonal skills with the ability to convey ideas effectively to non-financial/economic managers
- Ability to deliver and facilitate presentations in a professional manner at all levels of management
- Strong computer skills and the ability to quickly learn internal computer programs
- Excellent working knowledge of EXCEL with the ability to create well-organized and flexible Excel templates which link to existing evaluation tools
- Results oriented with an ability to work under stringent timeframes, under minimal supervision, and deliver results error-free
- Ability to lead and manage a small team of economic analysts
- General understanding of the Company’s operations and service offerings would be an asset
- The successful candidate will be expected to complete the necessary requirements in the IVA and Business Decision Support Certification Program
154
Gnm Head of Internal Control & Regulatory Development Resume Examples & Samples
- Oversee the maintenance of a Risk Control Self-Assessmentacross all GNM functions/groups. Create and monitor the key risks indicatorsand develop or adjust as dictated by the dynamics of the business and/orchanges in policies and procedures. Educate, train and inform staff/managers onrisk and control issues. Perform reviews of significant risk issues with rootcause analysis and ensure best practices are communicated with lessons learnedare shared globally
- Ensure GNM policies and procedures are in line withcorporate policies and practices and implements changes as required
- Oversee the set up, maintenance and coordination of theBusiness Continuity Plans across GNM globally
- Member of and responsible for the coordination, set upand preparation of the Annual Subcustodian Re-confirmation Committee (composedby members of Executives Committees of different legal entities of the group).Responsible for the follow-up and implementation of the actions agreed duringthe Committee sessions. In charge of set up and maintenance of Terms ofReference for this and other Committees that GNM chairs
- Lead (working closely with GNM Management Team) the developmentof internal control tools, MIS and new systems/applications
- People management role including training, formalappraisals, coaching, personal objective setting, career development anddelivery corrective actions as needed
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Global Regulatory Lead-neurosciences TA Resume Examples & Samples
- 25%
- Designs and implements regulatory strategies to obtain, maintain product investigative and marketing applications, and extend product registrations. Single point of contact and accountability for regulatory and leads the regulatory subteams as well as represents regulatory on key internal decision making teams such as PSTs and GDTs
- Functions as the global regulatory lead for assigned projects, working with a cross-departmental group of regulators as part of Global Regulatory Team, including CMC, Operations, Labeling, International, Advertising/Promotion and Intel/Policy to drive global regulatory strategies
- Leads the development of strategic plans and tactical implementation leading to the creation and submission of Regulatory documents, e.g., INDs, NDAs/BLAs, CTAs, MAAs, supplemental NDAs/BLAs and other relevant regulatory filings
- Effectively leads key meetings with HAs to ensure full discussion of issues and opportunities
- Provides guidance to all appropriate departments in Shire to assure compliance with applicable regulations
- Remains knowledgeable about current regulations and guidance, interprets and notifies appropriate personnel and works with regulatory policy/intel as appropriate
- May supervise a changing number of Regulatory Affairs Associates
- BS, BSc, MS, MSc, PhD, PharmD, J.D., or M.D. in science or healthcare preferred or equivalent relevant experience
- Generally has at least 5-10 years of Regulatory Affairs or equivalent experience. The regulatory experience should be broad to ensure appropriate leadership and mentoring for regulatory staff within Shire
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Regulatory Audit Analyst Resume Examples & Samples
- Successful track record in facilitating and collaborating across teams and managing projects
- Demonstrates a basic understanding of project management disciplines
- Recognizes issues and escalates appropriately
- Computer literate (MS Word, Power Point, Excel, SharePoint)
- Prior audit or project management experience
- Six Sigma Black Belt or other Process Improvement or Quality Control expertise
- Knowledge of Humana’s internal policies and procedures
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Regulatory Promotion Lead Resume Examples & Samples
- 70%
- Degree in life science or equivalent. Advanced degree (PharmD, PhD, MS, MBA, JD) preferred
- 5+ years experience in drug, biologic and/or device Regulatory Affairs or related field, including a minimum of 2 years’ experience specific to Regulatory Affairs – Advertising and Promotion. Candidates with experience in related fields may also be considered
- Demonstrated knowledge of regulations and regulatory guidance specific to advertising and promotion of pharmaceutical/biologic products
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Mortgage Lending Regulatory & Investor Process Manager Resume Examples & Samples
- Maintain superior knowledge of past, current, and emerging compliance regulations and regulator focus. Analyze and communicate new/amended laws or regulations to LOB management. Serve as a subject matter expert and provide guidance and oversight to the LOBs in carrying out their compliance obligations in partnership with guidance from Corporate Compliance
- Analyze regulatory changes and the impact those changes have on assigned LOBs. Analyze existing processes and procedures to determine gaps. Lead any compliance initiatives necessary in implementing change
- Maintain good working relationships with assigned LOBs and serve as a liaison between Corporate Compliance and LOB management and staff
- Oversee the efforts of assigned LOBs and other risk areas in the development and implementation of policies, procedures, and processes to minimize compliance risks
- Advise on the development and implementation of changes to business processes with compliance risk
- Provide compliance guidance to business leaders and staff within assigned LOBs
- Participate in or lead meetings with LOBs and risk groups to provide regulatory guidance on new initiatives. Understand new products, marketing, servicing, default management, collections and changes to business flow and procedures and analyze initiatives for compliance risk
- Represent Risk and Control on cross-functional task forces and assigned projects
- Determine emerging compliance risks using a proactive approached and forward thinking analysis
- Review, complete an analysis and approve consumer complaint responses
- Assist the Audit and Compliance Issues Manager in the management of regulatory examinations and internal audits
- Support the development of, and revisions to, regulatory training. Partner with Corporate Compliance and LOB stakeholders in the development of regulatory training
- Bachelor’s degree in business, law, or related field or equivalent education, experience and related training
- Ten years of consumer mortgage industry experience or commensurate experienced
- Eight years of regulatory compliance experience or regulatory agency compliance experience with a focus on consumer mortgage lending compliance
- Excelled verbal, written, and interpersonal skills and the ability to communicate and interact with all levels of management
- Strong knowledge and leadership skills and the ability to own projects and drive process change
- Ability to manage implementation of regulatory requirements over multiple LOBs
- Independent thinker with strong analytical skills and the ability to make decisions
- Must be independent and able to work unsupervised
- Twelve or more years of financial industry experience
- Five years of managerial experience
- In-depth compliance knowledge of one or more of the following: consumer mortgage lending, fair lending or compliance risk management
- Certified Regulatory Compliance Manager (CRCM) or other specialized compliance education/professional designation
- Operational and regulatory knowledge of financial institutions (banks or mortgage companies preferred)
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Alternatives Regulatory Lawyer Resume Examples & Samples
- 5+ years of Legal experience out of a Law firm and/or as an In-House Lawyer at a Financial Institution
- Bachelor's Degree in Economics and/or Finance or JD
- Working knowledge of alternatives products and the regulatory matters affecting development, distribution and maintenance of such products
- Knowledge of the Investment Advisers Act of 1940, the Investment Company Act, Securities Act of 1933 and FINRA rules
- Working knowledge of the Dodd-Frank Act, Volcker Rule, ERISA, Commodity Exchange Act, CFTC rules, and relevant US Banking laws
160
Regulatory Engagement Application Architect Resume Examples & Samples
- BS or Masters in Computer Science, Computer Engineering, Electrical Engineering
- Enterprise-level business solutions and applications
- Architecture methodologies, standards and tools
- Strong practical knowledge of Oracle and/or SQL Server, including complex SQL queries, stored procedures, and DBA-level skills such as table and index creation
- Strong experience is leading a large development team and delivering projects
- Knowledge of Business Resiliency business principals
- Experience working with 3rd parties
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Regulatory Inquiries Compliance Officer Director Resume Examples & Samples
- Proficient in Excel and experience in drafting is necessary
- Experience of managing a team required
- Ability to ensure delivery of enquiries on a timely manner
- Ability to communicate effectively with relevant regulators and a variety of departments within Compliance
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Regulatory Submission Project Planning Associate Resume Examples & Samples
- Bachelor’s degree in related discipline preferred
- 3+ years of Regulatory experience, including knowledge of applicable Regulatory Agency regulations, guidelines, and/or specifications (FDA, EMA, ICH, etc.)
- ECTD knowledge required
- Proficiency in Microsoft Office and Adobe Acrobat required; working knowledge of Microsoft project and electronic document management systems (e.g., SharePoint) preferred
163
Regulatory Accountant Resume Examples & Samples
- Reporting to the Regulatory Reporting Manager, but working very closely across the finances team and with group Compliance
- Managing key stakeholder relationships across the business and be able to present key management information
- Finalise implementation of AIFMD, particularly embedding how we work with a Depositary and our reporting
- Understand the requirements from CRD IV and implement the required process and reporting changes, producing the required reports quarterly
- Ensure the FATCA project, and similar arrangements expected from other governments, are brought to conclusion and embedded into the way we work
- Review and ensure consistency in the way we complete our current FCA reporting, supporting regulatory company accountants as required
- Accountant, who now wants to gain business exposure to the challenging area of regulatory reporting within financial services. Particularly, implementing systems and processes to ensure ongoing compliance is well controlled and efficient
- ACA, ACCA or CIMA qualified with minimum of a Degree level education (or equivalent)
- Exposure to regulatory issues would be advantageous
- Advanced Excel skills, strong attention to detail, broad systems capabilities
- Ability to work to deadlines with multiple priorities
- Ability to communicate with management and summarise difficult technical issues pragmatically is also desirable
164
Global Head of Regulatory Notification Team Resume Examples & Samples
- Responsible for providing strategic guidance, oversight and subject matter expertise to the program team
- Works with the businesses to coordinate deliverables required for audit reviews
- Manage relationship and coordinate deliverables for internal and external (regulatory, etc.) exams, reviews, and audits
- 5+ years of direct experience in, Information Security, Control, Compliance, Audit, or Regulatory management
- Ability to run a program and a team across multiples country and regions
- Self-motivated with a passion for establishing and maintaining a culture of control
- Interpersonal skills and ability to work well in a team environment collaborating across diverse groups
165
Regulatory & Basel, Accountant Resume Examples & Samples
- Preparation, analysis of the following Liquidity and Credit risk all South African Reserve Bank’s (SARB) BA returns, namely
- Exposure to technical aspects of global banking best practice standards as well the exposure to quantitative aspects of risk and risk measurement techniques
- Strengthen your understanding of the regulatory rules and environment
- Develop product knowledge and understanding of business dynamics at Citi
- Skills gained in the role are employable in risk management, capital management, as well as portfolio reporting areas of the bank
- Strong Experience in Bank Financial Reporting Environment
- At least 3 years of hands on experience in preparation and submission of Basel II related BA forms to the South African Reserve Bank
- Liquidity and credit risk regulatory experience
- Financial accounting with US GAAP and or IFRS experience
- Prior knowledge of STAR, Flexcube, CDS, and other risk / Finance platforms will be an added advantage
- Regulatory reporting Liquidity & Credit Risk – Expert
- Financial accounting – Intermediate
- Computer skills – Intermediate
- Relevant Accounting/Finance or related qualification
- Chartered accountant or equivalent would be an advantage
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VP Regulatory Oversight & Delivery Resume Examples & Samples
- Supporting the KRO in managing regulatory engagement and co-ordinating regulatory projects, for Wholesale credit risk
- Leading wholesale credit risk compliance with CRD IV and associated Basel implementation rules of other regulators (e.g SARB/FDIC)
- Provide Basel expertise and interpretation of regulatory requirements
- Lead exercises requiring risk practitioner input e.g. thematic reviews
- Oversight & coordination of regulatory projects and reporting
- Interaction with a range of internal and external stakeholders, including business aligned specialists, senior management and regulators
- Production of written presentations to senior Risk stakeholders and regulatory bodies
- Facilitate and own engagement with business aligned risk teams, including ongoing support to business teams to formulate responses to regulatory queries
- Provide collation and aggregation support capability following submissions from business aligned risk teams
- Provide review and challenge to business submissions to ensure accuracy & consistency across the Barclays Group
- Strong organisation and influencing skills
- Self-starter and able to operate with a reasonable degree of autonomy
- Effective, clear communication skills, both written & oral
- Highly analytical mind with a strong attention to detail
167
Regulatory & Formulations Manager Resume Examples & Samples
- Support to NPD process in the form of advice on what can currently be manufactured and legal product category
- Changes to existing formulations once reviewed through the change process and final review and sign off all new formulations and labels and export into ERP
- Maintenance of cost structure once costs are provided and signed off by finance and purchasing and quarterly issuing of Feed Mill (provender minerals)
- Provide training and support to Marketing and Sales Personnel for label design and technical support
168
VP, Regulatory Reform Metrics Project Manager Resume Examples & Samples
- Define and manage the daily and monthly metrics generation processes
- Manage a team responsible for critical data pattern and anomaly analysis
- Work with senior management to draft the regulatory narrative
- On a monthly basis, submit Citi’s metrics and narratives to each of Citi’s regulators
- Work with the business, functions and technology to resolve cross-product and / or cross-functional issues and ensure data is updated
- Work with stakeholders and technology to continually enhance the controls and functionality of the supporting technology
- Manage the prioritization of technology implementation
- Perform critical and high-profile ad hoc analysis
- 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
- Experience defining, managing and enhancing business processes
- Experience managing a team responsible for executing a business process
- Experience managing process change and technology implementation projects
- Experience managing a global team a plus
- Strong project management skills; ability to gain consensus among staff and drive initiatives to completion effectively
- Ability to confidently interact with senior bank executives and regulatory stakeholders. Comfort level with “digging deeper” when needed-making further inquiries, questioning and pushing back
- 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
- Ability to work with all levels of the organization, from desk heads to first year analysts
- Excellent verbal and written communication skills, to effectively produce documentation and communicate with various stakeholders
- Deep understanding of Derivatives trade life cycle. Swaps exposure highly preferred
169
Capital Markets Regulatory Reform Project Manager Resume Examples & Samples
- Work with the business and support functions to understand the impact of rules on booking models, business processes and technology
- Perform detailed business process analysis, documenting current-state and proposed flows
- Perform data analyses to scope rule impact
- Manage delivery of discrete deliverables by various businesses and functions
- Take ownership of issues and ensure resolution
- Synthesize information from various businesses and functions into a holistic view and prioritize work and issues
- Accountable for the successful delivery of workstream deliverables in line with overall project objectives and timescales
- Contribute to the design and delivery of Front Office training plans and materials
- Deep understanding of Derivatives trade life cycle. Swaps exposure highly preferred. Understanding of the full trade lifecycle within a large bank/dealer covering multiple asset classes
- Capital Markets Middle Office, Operations or regulatory change management exposure strongly preferred
- Ability to balance strategy and execution while driving projects. Pitch-in attitude, roll-up-your sleeves mentality
- Strong project management skills; ability to gain consensus among staff and drive initiatives to completion effectively. Experience managing projects or project workstreams
- Experience in business process analysis
- Ability to think strategically but act tactically where necessary
- Ability to distil large amounts of information into simple messages
- 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 function
- Ability to work with all levels of the organization, from desk heads to first year analysis
- Excellent verbal and written communication skills, to effectively produce documentation and communicate with senior management
- College/university education preferred, but appropriate industry experience & exceptional delivery track record is as important
170
AVP Senior Compliance Officer Regulatory Development Resume Examples & Samples
- Monitors, assesses, and communicates legislative, regulatory, and case law changes for the following lines of business and central/support functions ( including but not limited to)
- Minimum of three years progressive legal, audit, compliance, financial services operations, and/or regulatory experience, or equivalent
- Basic (move thorough to manager) knowledge of products, services, operations, and systems and understanding of laws, regulations and regulatory agencies related to assigned areas
171
Cib-regulatory Accountant Resume Examples & Samples
- Preparing monthly returns for submission to the Australian Prudential Regulatory Authority (APRA)
- Investigating and responding to APRA follow-up questions
- Preparing daily, weekly and monthly liquidity reporting to senior management
- Preparing and completing the monthly FX return to the Reserve Bank of Australia (RBA) and quarterly ABS returns
- Assisting with the facilitation of the annual APS-310 audit of APRA reporting
- Supporting legal entity controllers and the broader team as needed
- A relevant tertiary and professional (CA/CPA) qualification with a high level of experience in current technical accounting practices
- Experience in regulatory accounting and detailed knowledge of A-IFRS is preferred
- Good analytical skills with proven ability to manage competing priorities and meet tight deadlines
172
Risk Regulatory Data Manager Resume Examples & Samples
- Role Summary/Purpose Continued: Support consolidation & analyze portfolio information, complete deep-dive reviews for business intelligence and perspective
- Support and collaborate with organizations within GECC and GE Capital-America to drive risk data and process standardization across GE Capital-America platforms that submit data for regulatory reporting through the IRIS monthly process
- Project manage projects that support data provided for regulatory reporting, including CCAR (Comprehensive Capital Analyis & Review) and SNC (Shared National Credits)
- Leverage resources across functional and platform teams
- Collaborate with Governance Leader to drive IRIS/EDW data quality standards by establishing and implementing governance and controllership requirements for change management and process monitoring
- Establish and maintain strong relationships with key functional stakeholders (Risk, Finance, IT, Ops)
- Bachelor's Degree in Risk-related field (Accounting, Business, Economics, Finance, Math/Stat, Operations Research, etc. with Quantitative underpinning) with minimum 8 years of relevant Risk or Finance experience
- Working knowledge of MS office tools, and data mining tools (Access, SQL, BO, SAS, etc.) is very important
- MUST be willing to comply with pre-employment screening, including but not limited to, drug
- Graduate Degree in Risk-related field (Accounting, Business, Finance, Economics with Quantitative underpinning); FRM and CFA a plus
- Familiarity with Basel Initiative, Treasury operations and regulatory matters Underwriting, portfolio management, financial planning & analysis experience, especially with management of IT project implementations on behalf of business users
- Excellent oral and written communication skills Strong interpersonal and team management skills
173
Bus Systems Analyst v Regulatory Applications Cyqu Resume Examples & Samples
- Review with technical team(s) to ensure understanding of project requirements
- Participate in design discussions and assure functional specifications are delivered
- Responsible for coordinating estimates for large projects and performing estimates for assigned component on TSC/ESP projects
- Facilitate / provide estimates after business requirements and functional phases while establishing time lines and project phases
174
Operations Regulatory Control Project Manager Resume Examples & Samples
- Implementation of new regulations
- Build strategic framework
- Change professional in addressing regulatory inquiries, remediation and strategic fixes
- Create and manage the development of individual project artifacts including scoping documents, project plans, score cards, risk & issue trackers, business requirements documentation, functional requirements documentation, traceability matrices, and test plans /scripts
- Ensure that deliveries from work streams/projects meets requirements and are of appropriate quality, on time and within budget, in accordance with project plan and governance
- Delivers and maintains a strong communication plan and artifacts among varied stakeholders (e.g. operations, technology, front office, compliance, legal, etc…)
- Demonstrated experience in the successful implementation of projects, operational process change and improvement, preferably within capital markets operations
- Knowledge and a technical understanding of securities processing including product, process and system knowledge
- Experience should ideally involve large scale implementations
175
Compliance Regulatory Audits & Enquiries Resume Examples & Samples
- Interpretation of regulatory requests for information
- Obtaining and reviewing data enabling the candidate to formalize the firm’s response to the enquiry. This may include trading data, copies of electronic communications and voice recordings, client documentation, etc
- Liaising closely with other Compliance areas and Legal, as well as other areas of the firm, to ensure completeness of data for a response, to seek specialist input and/or to highlight potentially suspicious activity (for example, to the Anti Money Laundering team)
- Working with Technology, Operations and other areas within Compliance, or the business, to enhance the speed and ease of obtaining information
- Graduate, preferably with a Finance related or Legal degree
- Minimum of five years’ experience in a financial services-related environment. Previous Compliance experience is not a pre-requisite. Background in equities or derivatives trading/Operations (or Legal) of particular interest
176
Regulatory Capital Credit Risk Controller Resume Examples & Samples
- Ad hoc analyses and projects
- BS/BA in Accounting and 7+ years relevant Regulatory Capital Reporting
- Proficiency in MS Office applications; i.e. Excel, PowerPoint, and Access
- Ability to work under the pressure of deadlines
- Self-motivated and promote teamwork
177
Regulatory Capital Legal Entity Controller Resume Examples & Samples
- BS/BA in Accounting and 7-10 years relevant Regulatory Capital Reporting experience
- Proficiency in MS Office applications; i.e. Excel, PowerPoint, and Access
- Excellent analytical, quantitative and problem solving skills
- Strong communication, organizational and time management skills
- Ability to work under the pressure of deadlines
- Ability to handle and resolve recurring challenges and problems
- Self-motivated and promote teamwork
178
Counsel Regulatory Uk, Eu Resume Examples & Samples
- Qualified to practice law in the UK ( minimum 7-11yrs PQE)*
- Strong post-qualification practice in a financial services / financial markets regulatory practice at a top-tier law firm
- Additional in-house experience is preferred
- Experience with regulatory issues relating to fixed-income and derivatives trading
- Experience with regulated trading venues such as MTFs and exchanges
- Strong organizational, communication and analytical skills
- Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role
179
Corp Regulatory Lawyer for Latam VP Resume Examples & Samples
- Become subject matter expert on certain laws and regulations; interpret laws and regulations for the Latam region
- Excellent communication, analytical, organizational and interpersonal skills
- Independent and Autonomy in working
- Fluent in English, Spanish and Portuguese
180
Compliance, Regulatory Audits & Inquiries Resume Examples & Samples
- Grasp business and regulatory rules and policies
- Respond to new rules and regulations from various regulatory bodies
- Conduct research and gather data in response to diverse regulatory requests
- Analyze and interpret the data collected
- Ability to multi-task and work to deadlines
- Experience in financial, legal, accounting or regulatory areas is preferred
- Work experience of 2+ years is preferred
- Computer skills
181
Group Lead-regulatory Submissions Management Resume Examples & Samples
- 80% - Lead Shire’s Global Regulatory Submissions Management activities
- Provides leadership and direction to ensure timely and quality end-to-end management of Shire’s global portfolio of submission activity
- Accountable for developing appropriate processes, procedures and staff
- Directs all global submission processes in accordance with the appropriate granularity to ensure compatibility with all Health Authority and Agency guidelines and compliance specifications
- Represents Shire at Health Authority and Industry meetings related to regulatory submissions management
- Evaluate and address filing needs for the GRA group
- Provide leadership in the management of all logistical issues related to regulatory filings
- Evaluates the global regulatory landscape and institutes changes that ensure Shire remains in compliance
- Develops novel concepts and approaches to advance and/or challenge existing global regulatory paradigms
- Effectively defines the Submissions Management resource plan and deploys appropriately skilled resources to cross-functional teams globally
- Understands and manages internal and external relationships for the Regulatory Operations team
- Provides leadership and advice on regulatory specifications for submissions, and the ability of publishing tools and systems to support them
- 20% - Other responsibilities
- Mentoring employees/consultants
- Interviewing, hiring and training employees/consultants
- Aggregating resource forecasts for projects/programs
- Planning, assigning and directing work
- Setting objectives and appraising performance
- Developing risk management plans and overseeing implementation of risk mitigation activities
- Managing performance assessments and career development activities
- Establishing team objectives and developing team scorecard
- Monitoring team metrics and ensuring team deliverables against scorecards
- Mentoring GRA colleagues across the department
- Bachelor's degree or related experience is required. Scientific or closely related field preferred
- 10+ years of regulatory experience in the pharmaceutical/biotech industry
- 10+ years of hands-on global regulatory submissions management experience
- Generally has at least 7 years of management level experience
- Experience in global drug development regulations, regulatory submission, lifecycle management, compliance, business systems technology and process is preferred
182
Regulatory Document Operations Associate Resume Examples & Samples
- 3+ years of relevant postgraduate work experience
- Familiarity with applicable regulatory agency regulations, guidelines, and/or specifications (FDA, EMA, ICH, etc.)
- Proficiency in Microsoft Office Suite and electronic document systems (such as SharePoint)
- Working knowledge of eCTD authoring templates (such as StartingPoint) and document publishing tools (ISIToolbox and A-Pulse)
183
Director, ERM Regulatory Relations Resume Examples & Samples
- 5+ years solid experience in a risk management function in the financial services industry with a preference for retirement, life insurance and retail financial services
- 10+ years’ experience related to risk management, strategic planning and / or management and execution roles
- B.S. degree in Business, Finance or related field. Advanced degree required (MBA, M.S., etc.)
- Detail-oriented, with hands-on, roll-up sleeves approach
- Proven ability to work independently and assess and articulate priorities with clear outcomes in mind
- Strong project management discipline and demonstrated success overseeing multiple projects to completion
- Strong ability to influence. Works effectively with various levels within an organization, including senior-level leadership, professionals and staff and quickly build relationships
- Possesses excellent written/oral communications and presentation skills. Must be capable of communicating with a diverse range of individuals, regulators and other external stakeholders
- Hands-on experience planning, implementing and utilizing technology solutions
184
Operational Risk & Regulatory Control Manager Resume Examples & Samples
- Manage day to day regulatory oversight of the LEG function on behalf of UK entities in EMEA region
- Maintain functional governance consisting of regional operational risk working group and steering committee
- Ensure production and distribution of weekly/monthly Operations risk and performance reports to Operations management and internal stakeholders
- Maintain stakeholder relationships in structure and proactive manner with LEG, SSBO, Compliance, Risk and business stakeholders
- Manage all day to day escalations between LEG processes and Operations, Compliance, Risk and business stakeholders
- Involvement in the identification and management of process improvement projects
- Understanding of markets business units and product types
- Understanding of KYC and AML processes and UK regulatory environment
- Take responsibility for assigned work tasks. Adhere to the Governance cycles
- Behave in an honest and ethical manner in accordance with the Code of Conduct and the Employee Handbook
- Understand and adhere to the organization’s values
- Have an analytical eye for detail
- Escalate issues and risks to the supervisor in a timely fashion
- Be able to effectively and actively ensure upward, downward peer communication of information and issues and risks
- Be able to deal easily with multiple issues and tasks under pressure
- Build effective network of contacts
- Be able to select relevant information and tailor communication to target audience
185
Cib Oversight & Control Regulatory & Controls Senior Associate Ny Resume Examples & Samples
- To act as a North America Regulatory Controls representative working closely with the Business, Operations, Compliance, Legal, and Regulatory Affairs
- To support the Regulatory Controls Governance forum (s) across WHEM
- To design and monitor key regulatory controls regionally and globally
- To design and maintain Regulatory Controls metrics
- To provide oversight and provide leadership for Regulatory Reporting: deep dives, issues management and root cause analysis and thematic analysis
- Drive a program of work to address controls issues, reconciliation breaks and improve data quality across LOBs
- To become a lead in the key aspects of the reporting obligations across our jurisdictions impacting WHEM, in order to provide guidance and act as a controls advisor across CIB
- To help design robust, globally consistent, effective and evolving Operating models and Control frameworks to help meet key regulatory obligations and changes
- Drive adoption of the regulatory controls across the LOB’s and continuous improvement to the framework(s)
- Effectively communicate to Sr. stakeholder, Clients and Escalations when
- Effectively communicate to Sr. stakeholder, Clients and Escalations when required
- Candidate should have a background in banking and a broad understanding of the changing regulatory environment and its impact on the industry
- Able to demonstrate product knowledge in at least one asset class, including the trade lifecycle from risk management platforms through to settlement and confirmation functions
- Ideally the candidate will have an understating of some of the specific regulatory requirements that impact the products and markets in which the CIB operate
- Ideally have a strong appreciation of Regulatory Reporting and be comfortable in critiquing design and control requirements
- Have experience of working in a control environment and designing and delivering control solutions
- Able to operate globally across regions, businesses and functions with demonstrable strong negotiation, influencing and relationship management skills to drive delivery across a variety of teams
- Ability to interpret issues raised, prioritize and communicate to senior management and other key stakeholders regarding resolution plans and expectations
- Excellent communication skills with the ability to succinctly communicate complex issues
- Team player with ability to build & maintain productive working relationships with colleagues globally at all levels and across functions in order to achieve results
- Proven ability to deliver through others
- Excellent organization & planning skills
- Proactive and creative problem solving with business process reengineering experience
- Deals comfortably with ambiguity and uncertainty
186
CIB F&BM UK Regulatory Reform Associate Resume Examples & Samples
- Calculating modelled and standardised capital estimates to support the IMA (modelled Market Risk Capital) and IMM (modelled Counterparty Risk Capital) applications to the PRA
- Working with the business and Reg Policy to assess capital impacts of client migrations and new business proposals (NBIAs)
- Working with the Reg Reporting, Reg Projects and Global Finance Technology (GFT) leads to develop a new operating model for modelled capital reporting including development of new modelled risk feeds to the Reg Reporting system, Axiom
- Preparation of documentation to be included in the UK Reg sections of the capital model applications to be submitted to the PRA
- Self starter, motivated and able to work with minimal supervision
- Ability to communicate effectively both verbally and written - at all levels
- Good understanding of banking products
- Extensive discipline in data integrity, data reconciliation, controls and documentationProject management experience
- Proficiency in Microsoft Office: MS Excel , MS Access, Outlook, Word and PowerPoint
- Proficiency in Business Objects and other query tools (Microsoft Access)
187
Commercial Banking Regulatory Practices Senior Program Manager Resume Examples & Samples
- Manage project development from initiation through implementation including phases such as planning, analysis, design and implementation using structured project management disciplines
- Develop and compile key metrics and effective senior management presentation materials to report on project progress, recommendation/decisions
- Day-to-day maintenance of collateral enforcement and SCRA quality control activities, including review of litigation/enforcement approval requests, documentation compilation, file building and maintenance, and addressing questions raised in audits and control reviews
- Monitor projects on an ongoing basis, evaluating progress and quality, managing issue resolution and taking corrective action as necessary
- Assist with the drafting, proofreading and revision of procedures for all covered businesses
- Judgment and independent decision making required for moderately complex issues. Researches, collects, classifies and studies business data; May assist in the preparation of business requirements or reports
- Ability to work independently and build the appropriate relationships, including ability to interact with all levels of management
- A strong background in technical writing, process flow mapping and procedures implementation
- A strong background in project management is preferred
- Bachelors Degree or 7 years equivalent experience
188
Corporate Model Risk & Development Regulatory Capital Modeling Associate Ny Resume Examples & Samples
- PhD or MS in heavy quantitative field: econometrics, statistics, mathematics, physics, engineering, finance
- Econometrics background preferred – experience with econometric models, macro and balance sheet data
- Solid theoretical and practical knowledge of data mining and data processing – experience in dealing with all aspects of analyzing sizable data, SQL, some exposure to databases
- Hands on programming experience in Python desired but not required
- Some exposure to credit risk either in wholesale or retail desired
- Some exposure to Basel II, III, and CCAR regulatory capital framework desired
- Experience with R, Python, SQL, VBA, and Excel
189
Legal & Regulatory Operational Risk Manager Resume Examples & Samples
- Provides a leadership role in the planning, development, and implementation of operational risk frameworks / measurement methodologies, policies, standards and procedures specific to the needs of the business which are aligned with the Bank’s Operational Risk Program
- Analyzes and documents various processes and products, existing or new, by working with the business units to identify key processes as prescribed by the Operational Risk Department’s framework (process documentation, risk assessment, controls documentation, and testing implementation.)
- Works with management and staff in areas of the organization affected by alterations in business practices to ensure understanding and implementation of new operational risk policies and procedures
- Collaborates with other Bank units to study and investigate operational risk issues and identify and implement solutions. Partners with other Operational Risk Managers to ensure the sound implementation of the Control Programs throughout the Bank
- Supervises and / or performs periodic testing to determine effectiveness of unit’s adherence to the Bank’s operational risk framework requirements, internal policies, and best practices
- LI-JB1
- Bachelor’s Degree in Business Administration or related field required
- Master’s/Advanced Degree in Finance, Information Security, or related quantitative field preferred
- 10+ years combined Risk Management experience
- 5+ years experienced successfully leading and managing teams
- Alternative: Combination of education and experience (years /description) Bachelors degree or equivalent combination of training and experience
190
Operations Risk Management Divisional Regulatory Response Associate Resume Examples & Samples
- Conduct risk discovery reviews to ensure risks, especially those with the potential for broad applicability across the division, are effectively remediated through the use of a common set of controls and solutions
- Conduct preparedness assessments including interviewing senior management, reviewing materials for form and content to determine recommendations
- Risk Mitigation Focus – identify new risks in Operations’ processing for which there are currently no mitigating controls in place; put forward tactical and strategic remediation solutions to mitigate the risks and enhance the control framework
- Global and regional responsibility for leading key aspects of the Risk Program. Focus on improving the divisional infrastructure supporting the risk and control framework
- Coordinate, develop and participate in cross divisional risk training initiatives to raise awareness of the risk framework as well as develop the risk management skills of all Operations professionals
- Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
- Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
191
CMC Regulatory Submissions Manager Resume Examples & Samples
- Regulatory Submissions
- Knowledge of global CMC regulatory submission requirements
- Including submission formats (eCTD for IND, IMPD, NDA, MAAs and NEES)
- Department lead on the clinical and commercial CMC submission
- Processes
- Tracking global submission activities. Oversees regulatory
- Submissions trackers
- Supports the monitoring of global CMC process, evaluation of metrics periodically, monitoring the process, supports changes and provides training and tools. Maintains operational excellence of the process
- Oversees management of the content planning of regulatory
- Submissions within PD
- Provides guidance for submission eCTD granularity
- Maintains oversight and executes documents to submission ready
- Standard for CMC regulatory submissions
- Maintains global module 3 templates
- Oversees management of Quality 3D domain: Quality Folder, PD file guide, Annex 3, Submission ready standards guide
- Maintains awareness of current trends in regulatory requirements
- Bachelor's degree (or higher) in Chemistry, Pharmacy, Pharmaceutics, Chemical
192
Regulatory Content Manager Resume Examples & Samples
- Develop content management process and tools to manage information submitted to regulators across global technology including create, edit, publish, version control and governance process
- Assist in responding to Regulatory Requests for Information
- Analyze the Requests for Information submitted to the regulators, identify trends and provide early indications to the stakeholders on the specific technology risk and control regulatory focus areas
- Keep abreast of emerging and on-going technology regulatory trends
- Work with external regulators
- Current understanding of key technology regulatory requirements/focused areas
- Bachelor’s degree or equivalent experience required, ideally in a technology
- Minimum 8 years of work experience in Technology; Technology Risk and Controls, with at least 2 years working on managing regulatory interactions, exams
- Confident communicator - must be able to engage, influence and have effective dialogues with senior stakeholders within GT organization
- Ability to work with application development team, to help design the appropriate RFI content management solution
- Experience with Phoenix or ITRC application preferred
193
Regulatory Documentation Specialist Resume Examples & Samples
- Study and understand the requirements of the EU Cosmetic Regulation Product Information File
- Study and understand the requirements of the ASEAN Cosmetic Regulation Product Information File
- Work with COTY factories worldwide to gather finished good documentation
- Work with Packaging and Artwork departments to ensure that necessary documentation is gathered for all COTY products
- Act as bridge between chemists and support functions (Toxicology, Analytical, Product Testing, and Microbiology) to gather required paperwork from each department
- Work with onsite Toxicology team to ensure necessary information is available for the Safety Assessment
- Actively engage in the development of PIF processes both at Morris Plains and at other COTY R&D locations
- Work closely with COTY IT to implement and maintain IT solutions for the Product Information File
- College degree or equivalent
- 1-3 years of Regulatory Affairs experience
- Experience within Personal Care industry is a plus
- Strong written communication skills, especially detail-oriented and technical material
- Ability to work effectively both independently and as part of a team with diverse groups of people at various levels within COTY
- Ability to meet deadlines while being flexible to changes in priorities and interruptions
- Excellent organizational and analytical skills to complete assignments accurately
- Full knowledge and experience with Microsoft Office suite (Excel, Word, Outlook, Powerpoint)
194
Intern Regulatory Resume Examples & Samples
- Reading and analyzing public comment submissions and assigning comments to topical categories
- Assisting in processing comments and identifying mass mail campaigns
- Providing verbal and written progress updates to project staff
- Preparing written technical documentation
- Currently enrolled in a Bachelor's or graduate degree program
- Proficient in Microsoft Office
- US Citizenship
- Excellent written and oral communications skills
- Strong organizational skills
- Detail-oriented
- Time management
- Ability to work under deadlines in a fast-paced environment
- Strong analytical skills
- Team-oriented
195
Cib Operations Regulatory Control Associate Chicago Resume Examples & Samples
- Daily management of NA regulatory reporting requirements for Cleared Derivatives, (futures and options and OTC cleared)
- High focus and oversight of Canadian and CFTC reporting requirements
- Point of contact with respect to inquiries on regulatory reporting, ensuring appropriate escalation procedures are followed when required
- Responsible for driving the upcoming regulatory change agenda working with internal and external business partners to ensure compliance with reporting obligations
- Partnering regional compliance & regulatory control oversight teams, engaging them in the cleared Derivatives agenda
- Processes are reviewed regularly and where possible make suggestions for greater efficiency
- Ensuring appropriate Metrics and MIS is compiled and distributed to appropriate senior managers and sponsors
- F&O / OTC detailed knowledge of regulatory requirements
- Able to driver the performance within the team
196
Regulatory Capital Management Capital Initiatives & MI Resume Examples & Samples
- Identifying key Regulatory initiatives to assist business aims to optimize regulatory capital and track potential for optimization through assessing impact and ease of implementation to prioritize for greatest impact
- Developing periodic management information using Axiom data sources (eg used for COREP) to develop geographical information and inputting into Finance I.T change requests to ensure salient MI can be regularly produced, enhanced and distributed to senior management
- Pursuing and delivering capital optimization initiatives
- Providing input into annual ICAAP and Recovery & Resolution Planning processes
- Adoc tasks including FSA 3+
- Assistance with entity level initiatives
197
VP Regulatory Capital Management & MI Resume Examples & Samples
- Manage the book of work consisting of identified business initiatives (including NBC requests) that impact regulatory reporting. This will include high level understanding of the initiative and drafting problem statement, impact assessment (for key regulatory metrics) and drafting change requests where required. Prior to implementation this will include sign off from the relevant stakeholders such as regulatory reporting manager and undertaking parallel testing
- Assistance with production and review of quarterly COREP returns,
- Collaboration with other stakeholders including the desk, Corporate Treasury, I.T and Operations
- Experience of producing change requests consumable by management and by Finance I.T
198
Regulatory Remuneration Policy Specialist Resume Examples & Samples
- Producing and coordinating documents for submission to the regulators, internal audit, HR, the Firm’s clients and other departments within Morgan Stanley
- Reviewing, drafting and issuing applicable employee communications, as well as following up with HR coverage or business units as required
- Assisting with regulatory remuneration project management, setting time parameters and understanding deliverables
- Ability to liaise with other teams and departments to obtain information and deliver projects to deadline
- Managing regulatory remuneration policy updates in coordination with the HR Governance Group
- Preparation of documents and minutes for internal remuneration governance meetings, as well as meetings with the Firm’s regulators
- Ensure accurate and thorough documentation of regulatory remuneration policies and correspondence with regulators
- Preparing training documents, assisting with the delivery of training
- Responding to HR queries in relation to Code Staff and regulatory remuneration issues
- Previous experience within the financial services, legal or compliance sector required; the ideal candidate may have 5+ years in a similar role
- Understanding of current regulatory policies affecting the financial services sector
- Degree educated or equivalent
- Ability to manage a varying and demanding workload
- Ability to read, interpret and summarize regulations
- Understanding of the legislative /regulatory system
- Willingness to learn and work as part of an evolving team
- Excellent writing / drafting and communication skills
- Proficient in Word, Excel and PowerPoint
199
Cib Operations Regulatory Reform Group Pmo Analyst Associate Resume Examples & Samples
- Work in partnership with Senior Initiative managers to help shape and track the Strategic direction of the Regulatory Reform Group
- Ensure compliance with established programme management standards and audit requirements
- Log and track progress against key milestones issue, risks and dependencies and when required product reporting to escalate ‘show stoppers’ to senior management for resolution
- Maintain central timeline for the Regulatory Reform group to track progress across multiple initiatives
- Establish a governance framework to oversee Regulatory project activities to assess how they are progressing against our strategic goals
- Manage the flow of information into the wider Business Architecture and Transformation PMO to meet internal and external reporting commitments
- Develop and lead selected projects to enhance internal efficiency and effectiveness for the Regulatory Reform group
- Business Analysis Support of Data Remediation program, liaising with Chief Data Office, Data Owners and Data Remediation Team
- Excellent organizational / project management skills
- Excellent communication skills - both written and verbal
- Strong analytical and analysis skills
- Self starter, able to work autonomously, under pressure and to fixed deadlines
- Ability to work with cross-functional global teams and interact with all staff levels
- Understanding of project management
- Understanding the business needs and processes of the client
- Excellent analytical,problem solving, and time management skills
- Strong communication, and presentation skills
200
Head of Regulatory Monitoring & Risk Resume Examples & Samples
- Provide strategic direction and leadership to the Regulatory Policy and Monitoring team and lead the team in the development of an annual schedule of monitoring and other related activity which ensures business compliance with regulatory requirements for the development of qualifications and other related activities
- Ensure the development and maintenance of the company regulatory risk log, escalating risks to appropriate governance groups for further action, to improve regulatory business practices as part of the ongoing cycle of continuous improvement
- Manage the development and maintenance of the Conflict of Interest policy and associated training and development work, in consultation with key parts of the business such as Learning and Development and Corporate Communications
- Manage the development and maintenance of the Pearson Self Regulated Framework for qualification development, in consultation with key parts of the business such as Qualification Development and Vocational Assessment
- Lead the team in monitoring all qualification developments in a planned programme of activity against key criteria, ensuring that procedures and quality standards are maintained. Producing reports and other data to support monitoring, highlighting key areas for improvement
- Establish an effective team communication strategy, providing expert advice and guidance across the business on all areas within the scope of the role
- Track record of delivering complex projects
- Successful experience and understanding of the field of regulation and regulatory requirements ie successfully managing and implementing projects in this area
- Knowledge of current regulatory requirements relating to qualification development
- Knowledge of quality mechanisms and processes
- Excellent communication skills and the ability to deal effectively and professionally with colleagues at all levels of the Pearson business
201
Regulatory Systems Analyst Resume Examples & Samples
- Analyzing complex business and data analysis issues and identifying and proposing effective solutions
- Developing bespoke trade and order data analysis and functioning analytical prototypes based on staff requests using a combination of complex SQL, Excel, and technologies such as Python and R
- Instituting program specifications and prototypes into system design and requirement documents
- Working closely with business users to elicit, define, and document detailed business requirements and data analysis specifications that fully capture business processes and accurately define required functionality
- Facilitating effective communication across all levels within the Market Regulation department and throughout the organization with regards to regulatory systems functionality and data
- Providing necessary post-implementation support and training to department staff for IT projects and analytical tools
- Bachelor's degree in computer science, mathematics, data analytics, statistics, informatics, economics, or similar concentration
- Demonstrated experience in data analysis, business systems analysis, or a related field
- A working knowledge of programming languages, such as Python, R, VBA, Perl, or Mathematica
- Ability to work with individuals at all levels both within and outside the organization
- Experience with data visualization tools such as Tableau or Datawatch
- Excellent customer service, outstanding communication and interpersonal skills
202
Regulatory Supervision Associate Resume Examples & Samples
- Proven solid transactional evaluation experience
- Strong sense of urgency and the ability to respond quickly to changing needs and priorities
- Extensive knowledge of and a level of comfort with Mutual Funds and General Securities
- Extensive knowledge of securities regulatory and Prudential policy
- The ability to work with minimal supervision
- Strong customer service skills and values
- Proficiency in Microsoft Excel, word and have ability adept to other software as needed
- Active FINRA Series 7, 24, and Series 63 or 66
- FINRA Series 52 within 180 days of hire, if Series 7 was obtained after November 7, 2011
- FINRA Series 53 within 180 days of hire
- Supervision of daily, weekly and monthly trade reports
- Generate monthly and quarterly report for Pruco COMMAND's OSJ checklist
- Data gathering for audit support
- Review and analyze timelines on cases that are outside time standard and suggest work-flow improvements
- Act as technical subject matter expert for all associates
- SME and Functional Analyst for system developments, enhancements, and roll-outs
- Manage high profile cases including consulting with departmental management and legal counsel
- Assist training new hires
- Perform Registered Principal review on applicable correspondence and transactional review
- Writing and updating workflow procedures
- Communicating, implementing, and training procedural, technical, and statutory changes that affect team responsibilities
- Responsibilities are not limited to the above and may change to accommodate regulatory or departmental updates
203
Business Analyst Regulatory Reform Resume Examples & Samples
- Work within the regulatory reform core team and monitor the regulatory landscape in relation to Clearing
- Conduct detailed impact assessment for UBS
- Provide input into UBS' responses during consultation periods
- Define high level requirements for the OTC2CCP programme to ensure UBS can comply with the regulations
- Produce stakeholder documentation, procedures and rules maps related to the regulations
204
Regulatory Control Matrix Program Analyst Resume Examples & Samples
- Assist in coordination and support the production of the regulatory risk matrix reporting for the EMEA region to ensure that identified regulations are mapped to business controls and demonstrate the oversight monitoring process by Compliance where appropriate
- Partner with country compliance officers and local global function representatives to identify key legislation, controls and assessments and facilitate the roll out of the EMEA RCM Implementation across EMEA region
- Support to ensure sustainability of RCM Program during BAU, including inventory quality and reporting capabilities
- Work with colleagues to ensure the connectivity between RCM and other key Programs such CARA, MCA, Compliance Testing
- Assist in delivering technology enhancements, including training to team members and colleagues
- Support the delivery of other projects, as requested by the manager
- Assist with other projects as requested by the managers
- Financial Services Industry experience with a background in Risk, Control or Compliance, specifically within an international financial institution preferred,
- Good understanding of regulatory environment in the financial sector,
- Product or support function experience or knowledge would be greatly beneficial,
- Basic knowledge of working with projects and capability of executing, monitoring and controlling,
- Experienced in / ability to work in a matrix reporting organization
- Comprehensive interpersonal and organisational skills
- Comprehensive oral and written communication skills
- Strong ability to manage and facilitate work projects both on the ground and with remote units
- Demonstrable ability to influence peers and play a formative
- Strategic and goal-oriented focus
- Experience in developing, leading and completing projects with risk/compliance components
- Proficient use of MS tools (with the particular focus on Excel)
205
Regulatory Policy Accountant Resume Examples & Samples
- Steering and guiding colleagues and sites on regulatory treatments and issues
- Reviewing PRA and other consultation papers and determining group policy for regulatory reporting
- Liaising with industry bodies and peer banks to represent company interests
- Assisting in ensuring integrity of group external reporting
- Keeping up to date with the complex and ever changing regulatory environment
- Understanding and interpreting Basel 3 regulatory changes
- Dealing with PRA and industry bodies, such as ISDA, BBA, EBF
- Understanding general regulatory rules, financial accounting, complex products and structures
- Understanding Basel 2 systems and controls and their data requirements and limitations
- Ideally hold a recognized professional Accounting qualification (ACA, ACCA, CIMA)
- Extensive financial sector knowledge
- Extensive regulatory experience
- Ability to remain independent / impartial and ensure guidance is given in the letter and spirit of the law
- Ability to interpret and apply regulations across multiple regions and business lines
- Ability to disseminate findings and conclusions to relevant audience in a concise and timely manner
- Ability to challenge business and sites to ensure regulations are adhered to in both letter and spirit
- Ability to manage conflicting timelines and individuals with pressures / agendas
- Interpretation of relevant policies in the context of the company's various and complex systems
206
Regulatory Accountant Resume Examples & Samples
- Assist in the preparation of the daily 15c3-3 reserve formula computation for two broker dealer entities
- Preparation of Daily Net Capital for retail broker dealer
- Preparation of monthly FOCUS report supporting schedules
- Prepare journal entries and FOCUS topside adjustments
- Liaison with other groups across the firm for documentation through effective communication
- Other tasks as they become necessary within the regulatory function
- The person should be very detailed oriented and organized. Even beyond that the person should look to organize where that is missing
- Accounting background and degree is essential for this position plus 2-5 years of experience
- Able to work as part of a team and to multi-task
- Knowledge and some experience of rule 15c3-3 and 15c3-1 is not necessary but is preferred
- Advanced excel knowledge preferred
207
Mortgage Lending Regulatory & Investor Process Engineer Resume Examples & Samples
- Support the development and implementation of a mortgage lending requirements first line of defense change framework that can be applied across Mortgage Lending Administration (MLA) to proactively and, if necessary, reactively address process improvements needed to comply with changes to mortgage lending requirements
- Develop and own a process for compliance with changes to Federal Regulatory requirements to include, but not limited to, Consumer Financial Protection Bureau (CFPB) guidance, Federal Deposit Insurance Corporation (FDIC) rules, and Federal Reserve rules
- Responsible for changes and testing of vendor software, specifically, but not limited to, LoanSphere and Wiz Sentinel; also responsible for appropriate vendor oversight
- Partner with BB&T Strategic Initiatives team to ensure Corporate initiatives align with needs and initiatives within MLA
- Ten years of banking experience; eight of which are related to regulatory change implementation
- Strong understanding of mortgage-specific regulations and key mortgage-specific processes affected
- Extensive experience in the banking/financial services industry, with exposure to mortgage compliance
- CFPB Consent Order experience
208
Senior Regulatory & Quality Associate Resume Examples & Samples
- 4+ years of Pharmaceutical or Medical Device industry Regulatory Affairs or quality experience; 3+ years of actual experience with filing required Regulatory Affairs documents with the FDA and/or appropriate government agencies
- Bachelor’s Degree in a related field
- Experience with maintaining a variety of regulatory affairs database systems
- Demonstrated success in designing and delivering regulatory affairs training programs
- Experience with FDA interactions and understanding all processes associated with FDA interactions
- Bachelor’s Degree in a Scientific field
- RAC
209
Regulatory Solutions Analyst Resume Examples & Samples
- Substantial experience in the finance industry. Such as working in; investment banking, asset management or financial services
- Broad knowledge of EU and US regulations
- Excellent MS Excel skills
- Professional qualification – CFA / CIMA / ACCA / ACA
- Strong understanding of capital markets products (especially Fixed Income and Derivatives)
- Composed, experienced and professional in client interaction
- A mathematics, economics or business degree from a reputable university
- A logical mind, capable of implementing and improving structured processes
- Ability find creative solutions to complex analytical problems
- Demonstrable experience of tailoring solutions to meet specific requirements, and subsequently attempting to automate
- Experience of using SQL is preferred
210
Legal Agc Institutional Investment Management Regulatory Ny Resume Examples & Samples
- Top-tier law firm experience preferred
- The Candidate will be required to work closely with colleagues within a global network of offices in order to appropriately document derivatives activities which may involve several different jurisdictions. As such, a proven ability to work in a global firm is desirable
- Knowledge of U.S. securities laws, with particular emphasis on the Investment Advisers Act, ERISA, OCC and U.S. banking regulations
- Expertise with the application of the Volcker Rule to bank-affiliated asset management firms and activities
- A broad range of legal experience and skills and a high degree of commercial acumen commensurate with the need to provide general legal advice and counsel to product teams and management of a substantial and growing international business
- Demonstrable leadership skills and the ability to work with a diverse team of legal and other professionals
- The confidence and interpersonal and networking skills necessary for effective interaction with business clients at all levels, other parts of the firm and external parties (including the development and maintenance of external counsel relationships)
- Strong analytical, organizational, communication and negotiating skills
211
Analyst Regulatory Onboarding Operations Resume Examples & Samples
- Facilitate the regulatory onboarding of Global Capital Markets clients in an efficient, compliant, and client-centric manner. Rapidly triage and escalate complex issues to management for resolution
- Work directly with clients to complete requisite Know Your Client/Anti Money Laundering documentation; ensure that documentation meets the guidance put in place by Global Banking and Markets Compliance; escalate any variances from guidance to management for resolution; and ensure documentation is archived according to Bank and regulatory requirements
- Stay informed of changes in requisite Know Your Client and Anti Money Laundering regulations and help educate internal and external clients on significant changes
- Participate in multi-disciplinary teams to address new business initiatives, technology system enhancement projects, and one-off projects as required
- 3-5 years’ direct industry experience in the capital markets, having covered multiple product areas. An undergraduate degree in Finance, Business, Economics, or a related discipline is required
- The incumbent must exhibit expertise with current regulatory frameworks impacting Capital Markets client onboarding. Expertise with emerging regulatory frameworks (EMIR, MIFID2, Dodd Frank, FATCA) is preferable
- A sound understanding of the capital markets business is desired, as is a client-centric approach to the role
- Working knowledge of the Spanish language is an asset
212
Analyst Regulatory Onboarding Operations Resume Examples & Samples
- Work with trading desks, internal stakeholders—and where necessary—clients to complete requisite Know Your Client/Anti Money Laundering (KYC/AML) onboarding documentation; ensure that documentation meets the current Onboarding Procedures and guidance by Global Banking and Markets Compliance; escalate any variances from guidance to management for resolution; and ensure documentation is archived according to Bank and regulatory requirements
- Facilitate the regulatory onboarding of GBM clients in an efficient, compliant, and client-centric manner. Rapidly triage and escalate complex issues for resolution
- Support multi-jurisdictional onboarding of global clients in an efficient, compliant and client-centric manner by partnering with onboarding teams and staff across GBM business units and jurisdictions
- Support the quality assurance of KYC files that have been prepared by the New York Regulatory Onboarding team. Provide feedback on the files quality assured in a constructive and client centric manner
- Support the Regulatory Onboarding team in a variety of projects, namely
- Undergraduate degree in Finance, Business, Economics, or a related discipline
- Exhibit sufficient judgment to detect, solve, or escalate problems efficiently and effectively
- Strong computer skills; ability to work independently on assigned tasks
- Direct experience in the capital markets and familiarity with KYC / AML regulations is essential
- Must be able to operate effectively within a fast-paced environment with tight time frames which are closely scrutinized by Senior/Executive Management
- Concentrated use of visual attention is required when reviewing agreements. Some eye strain is possible due to this and the use of a PC
- Stress is derived from pressure to meet deadlines
- Constant interruptions create difficulties when frequent complex analysis is required. Uncertain deadlines, the lack of control over the pace of decision-making by other Bank departments and some external counterparties at times can create frustration and delays
213
Regulatory Resume Examples & Samples
- Facilitate and/or participate in internal/external audit and regulatory exam meetings as they relate to the USCCM organization
- Coordinate and control all informational and/or documentation deliverables on behalf of the USCCM Risk Management organization
- Develop and distribute timely communications with ongoing audit and examination status updates
- Provide operational risk management direction, guidance, and support to key stakeholders for development of formal responses and corrective action plans to regulatory and audit findings
- Oversee remediation of control gaps and weaknesses, providing risk management subject matter expertise for control design
- Foster the interaction between USCCM Risk Management and various other functions across the company to support risk mitigation actions are appropriately reviewed, understood, and approved
- Drive timely resolution of outstanding regulatory and audit issues, partnering with senior management and control partners across USCCM, and validating adequacy of completed action plans for closure of audit and examination findings
- Bachelor's Degree or above, Audit certification (e.g. CIA) a plus
- 8-10 years of experience in Operational Risk, Compliance, or Audit
- 5 years of experience in residential mortgage operations is preferable
- Strong critical thinking and problem-solving skills, with the ability to identify emerging risks and analyze operational impacts
- Strong organizational, project management, and multi-tasking skills
- Effective written and verbal communication skills with all levels of management
- Demonstrated skills to build collaborative relationships with the various business units, oversight partners, and auditors/examiners
- Ability to demonstrate credible challenge and push back where necessary
- Proficiency in Microsoft applications, specifically Word, Excel, and PowerPoint
214
Avp Technology Risk & Regulatory Resume Examples & Samples
- Implement risk management strategies
- Establish and manage expectations with business and technology partners accordingly
- Oversee coordinated efforts of diverse teams in delivering technology capabilities that are required by the business
- Strong People Leadership, ability to form effective teams, assess talent, develop people, coach, mentor
- Foster and champion innovative technology solutions to solve complex business problems
- Research and recommend new technologies where appropriate (e.g., vendor selection, make/buy, etc.)
- Frequently perform team assessment and evaluate associates based on KPIs, goals and expectations
- Comply with technical standards, policies and procedures
- Licensed FINRA Operations Professional (Series 99), or obtain this registration within 90 days of hire
- Strong track record of project and people management with complex deliverables that impact business operations
- Strong track record of quality code delivery and production stability execution
- Demonstrated ability to work independently and collaboratively with all levels of staff and management across multiple partner teams
215
Month Regulatory Accountant Resume Examples & Samples
- Responsible for the co-ordination and review of the quarterly regulated returns produced in the UK including the Consolidated supervision returns
- Responsible for the co-ordination and production of the Individual Capital Adequacy Assessment Process (ICAAP), Reverse Stress testing, Pillar 3 and Liquidity Reporting Requirement process for the UK
- Responsible for the co-ordination of the ICAAP and other equivalent reports for Continental Europe companies
- Assisting with the implementation of Solvency II and the Individual Capital Assessment (ICA)
- Proven accounting and regulatory experience
- Prior experience of preparation of FSA returns under BIPRU
- Prior experience of financial modelling
- Experience of Clarity and Oracle advantageous
- Good working knowledge of spreadsheets (Excel - macros, pivot tables), and MS Word
216
Regulatory Monitoring Adviser Resume Examples & Samples
- Contribute to regulatory monitoring in a planned programme of activity against key criteria, ensuring that procedures and quality standards are maintained
- Support the management of the program of work to ensure that Pearson is prepared for Ofqual validity audits. This will require the post holder to be highly organised, have excellent communication skills and be able to engage with colleagues at all levels across the business
- As part of their role in managing the Ofqual validity audits the post holder will be required to liaise with other teams in BIR to maintain a comprehensive trial and monitoring programme
- Support theSenior Regulatory Monitoring Advisor in managing the QSR risk register, liaising with colleagues to ensure that the register is up to date and accurate as well as helping to promote effective risk management across the department
- Lead on specific monitoring projects, producing high quality reports and other data to support monitoring, highlighting issues, making recommendations for improvement and ensuring action plans are carried out
- Support the Senior Regulatory Monitoring Advisor in managing Conflict of Interest across the business by responding to queries, maintaining up to date FAQs and monitoring awareness throughout the business through targeted surveys
- Provide a customer-focused regulatory service to the Regulatory Monitoring and Risk team’s internal customers, in particular supporting the qualification development teams in ‘getting it right first time’
- A high level of organisational skills, together with an ability to manage their own work
- The ability to work with colleagues across the business to meet key milestones
- The ability to coordinate resources to get things done
- A pro-active working style, constantly looking for improvements
- High levels of motivation with excellent interpersonal skills and the ability to network with ease at very high levels
- Analytical thinking – able to effectively seek and analyse information
- Understanding of the regulatory environment
- Broad understanding of the education environment
- Proficient in Microsoft Word, Excel and PowerPoint and Visio
217
Regulatory Relations Program Resume Examples & Samples
- Supporting regulatory exam process through the documentation and sizing of potential issues and risks identified during the reviews
- Developing and maintaining a comprehensive calendar of regulatory, internal audit, compliance, and other reviews and identifying overlaps or control gaps
- Developing and maintaining weekly management control dashboards and regulatory reporting to ensure awareness and visibility to key trends and emerging risks
- Establishing and managing project routines to monitor regulatory project progress and issue remediation
- Maintaining project documentation including project plans, task lists, deliverables, and management and regulatory presentations
- Deep functional knowledge of the Cards business and applicable rules, regulations, and processes
218
Regulatory Relations Group Resume Examples & Samples
- Managing the Firm’s responsiveness to its Regulators including facilitating understanding and clarification of regulatory messages
- Facilitating open, productive and proactive relationships with the Firm and its Regulators
- Ensuring the Firm has an up-to-date repository for regulatory engagement records, queries and communications
- Assist senior team members in management of regulatory information requests by: coordination of responses from all contributors; setting up and maintaining SharePoint sites, consolidation, quality assurance and checking of responses / submissions; formatting and preparing documents for final submission
- Maintenance and tracking of regulatory deliverables, meetings and correspondence on RRG SharePoint site
- Assist with coordination of regulatory meetings to ensure all planning tasks have been completed (logistics, prep meetings, materials, briefing notes etc)
- Develop templates and standard processes for repetitive team tasks (information request templates, SharePoint sites and instructions etc)
- Assist with production of team MI / reporting
- Assist with performing Change of Control analysis of changes to the Firm’s legal entity structure
- Assist with the drafting of regulatory applications
- Excellent Word, PowerPoint and Excel skills. SharePoint skills an advantage
- Keen attention to detail and accuracy and a desire to take ownership of content in deliverables
- Ability to learn new processes quickly
- Skilled in balancing multiple high-priority projects and tasks simultaneously and working to deadlines
- Ability to foster relationships with key stakeholders; gain the cooperation of peers and colleagues, persuade others; mobilise people to take action
219
SVP Regulatory & Executive Compensation Resume Examples & Samples
- The position is responsible for articulating the Compensation Philosophy for the Company and ensuring that the related strategies enable management to attract, motivate, develop and retain the very best people. Specifically, manages the implementation, communication and maintenance of the Company's base, short-term and long-term compensation programs
- The position manages and directs the organization-wide efforts to establish sustainable linkages in the Performance & Reward program that balances the full range of risks, including the Risk Evidence Statement process
- Regular interactions with U.S. regulators
- Minimum of a Bachelor’s degree in human resources, business, related field or equivalent experience
- Extensive knowledge of financial services performance and reward practices in global organizations in areas of expertise
- Extensive knowledge of global compensation principles, pay practices, compensation trends and relevant legal and regulatory environment
- Knowledge of the business markets and commercial dynamics; fluent in the financial language
- Strong communications, human relations, organizational, problem-solving, planning, project management, analytical, lateral thinking and financial planning skills
- In-depth knowledge of the organization, culture and strategic direction, including related Group programs
220
Team Head-regulatory Credit Portfolio Modeling Resume Examples & Samples
- Taking full responsibility of the methodology including both mathematical and risk modelling aspects and business liaison aspects (e.g. dealing with internal and external stakeholders and regulators on the model), thus being the single point of contact firm-wide for all calculations, main focus being the IRC methodology
- Leading research, development and implementation of new modelling, calculation and reporting approaches in a continuous improvement cycle that the team undertakes
- PhD or Master's degree in a quantitative subject, ideally with a solid curriculum in statistics/econometrics, quantitative finance or similar
- Work experience in credit risk modelling, ideally in IRC, CCAR traded credit scenario calculations, credit portfolio methodology or credit regulatory capital
- Proven track record of driving projects independently
- Understanding of the Basel II framework and the background to the IRC requirements, understanding of CCAR an asset
- Team leadership experience, ideally shown capability to manage across multiple locations
- Ability to communicate logically and in a precise way, including writing rigorous and clear model documentation
221
Cib-regulatory Project Accountant Resume Examples & Samples
- Preparation of monthly, quarterly and annual Registered Financial Corporation (RFC) returns for submission to the Australian Prudential Regulatory Authority (APRA)
- Assisting with automation of reporting process
- Assisting with validation of existing methodology of regulatory reporting
- Data maintenance and system enhancements
- Ad-hoc assistance to the other LECs and SFO as required
- Must have auditing firm experience ideally within financial services
- Experience in preparation and filing of regulatory returns to APRA and detailed knowledge of A-IFRS is preferred
222
Cass Regulatory Quality Assurance Analyst Resume Examples & Samples
- Obtain a good understanding of the UK CMAR QAR review framework and testing approach
- Assist in the design of the annual review plan and the related risk assessment process
- Support the execution of the CMAR review plan by performing assigned tasks, including: walk-through of client money related business process, assist team leader in drawing up testing plan, perform testing as outlined in testing plan, document work performed to satisfactory standard with appropriate supporting and audit trail
- Stakeholder engagement: effective client interface to ensure successful and timely completion of reviews; establish and maintain professional relationships within the business
- Look to gradually establishing up assurance capability by seeking and acting on feedback
223
CIB F&BM UK Regulatory Finance Release Team Business Analyst Analyst Resume Examples & Samples
- UK Regulatory Reporting is rapidly evolving environment with change through mandatory regulatory reporting requirements, application enhancements & technical change, data enrichment and support for JPM line of business development projects
- Regulatory Business Analysts are part of the project working group to successfully agree project scope and implement within budget and timelines. The team supports projects for Bank of England Statistical reporting, PRA Supervisory (Prudential), PRA Liquidity Reporting and COREP reporting
- This role will focus on delivery within the Finance Release program
- Ensure issues are raised / escalated and driven through to resolution
- Ensure Risks & dependencies are highlighted, with mitigation options presented, to Project Management and the UK Regulatory Reporting team
- Excellent written skills with clear, concise & logical documentation
- Advanced Excel and /or Access skills with ability to work with, and use, large amounts of data in organized and effective manner
- Experience of User testing planning & execution. Quality Centre knowledge a bonus
- An understanding and an appreciation of the Project Life Cycle
- Excellent organization & planning skills
- Good communication, negotiation and relationship management skills
- Reasoned decision taker
- Ability to articulate risks V’s rewards surrounding project dynamics
224
Risk & Regulatory Manger Resume Examples & Samples
- They will ideally be a risk professional with either energy or financial services background focusing on business/middle office analytics at strategic and operational levels
- Maintain an active industry regulatory presence to sustain company compliance with all industry related directives and identify potential opportunities to develop the business
- Cultivate stakeholder relationships including those with the executive, board, shareholders, banks, regulatory authorities and others
- They will need to be conversant with complex and extensive consultations pertaining to the sector and be able to assess and concisely communicate the drivers of change and how they affect the business
- They will play a leading role within the executive to initiate and implement change as a result of the business' transition to the new energy market
- Attention to detail combined with a grasp of the big picture will be required as they will need to be conversant with complex matters pertaining to the new energy market and be capable of challenging and communicating the issues as it will ultimately affect the business
- The person will be part of a small team with a flat organisation structure. They will be a self-starter and not rely on back office support
- Degree in either one or combination of the following disciplines: Economics, Finance, Statistics or Engineering
- Background in the management of operations and/or operational risk, in an Energy/ Financial Services environment
- Excellent interpersonal skills, including oral/written communication and influencing skills with ability to work with different disciplines
- The ability to use a wide range of analytical tools as well as project planning techniques
225
Regulatory Reform Analyst Resume Examples & Samples
- Partner with internal Trade Management, Technology, projects and regulatory compliance teams in relation to reporting issues in the Equities, Interest Rates, Credit, Foreign Exchange and Commodities asset classes
- User Acceptance Test scripting and execution
- Liaise with external Trade Reporting repositories such as DTCC on reporting issues
- Partner with Technology and Sales/Trading on systems enhancements and development
- Investigate process failures; synthesize and implement corrective actions
- Face off to internal and external clients on trade reporting queries
226
Compliance Exec-regulatory Resume Examples & Samples
- An accounting/audit or financial services background, preferably with exposure to the industry
- Experience of working within a regulated Fund environment. Experience of working within a UK Depositary/Trustee/Custodian/Regulator would be an advantage
- Experience of dealing with Regulatory Change processes
- A good understanding of the PRA rules
- A professional qualification is desirable but not essential
227
Head of Regulatory & Accounting Products Resume Examples & Samples
- Owning relationships with, consulting and educating clients on unique Bloomberg Regulatory solutions
- Speaking at seminars and conferences
- Furthering the knowledge of our sales force through internal training
- Providing feedback to Bloomberg's Business Managers on product enhancements
- This position will require extensive APAC regional travel
- Strong knowledge of the global and local regulations and their impact on electronic trading, clearing and trade reporting requirements at the country level
- Strong relationships with accounting firms and/or regulators
- Ten or more years of experience in quantitative modeling and/or financial reporting. Big 4 experience is desirable
- Ability to work collaboratively with a broad range of constituencies across numerous departments
- Deep understanding of capital markets, analytics and pricing models
- Experience in regulatory implementation projects preferred
- Highly motivated with excellent communication skills
- Commitment to enhancing and developing existing products
- Ability to work with and analyze a large amount of market data
- Capable of fostering relationships with new and existing clients
- Superior knowledge of Microsoft Excel, statistical analysis tools and Bloomberg applications
- Bachelor's degree (with additional CPA or CFA a plus)
- Excellent communication and customer service skills with the ability to initiate, develop and maintain relationships with key clients
- Excellent oral and written communication in English, with fluency in Japanese preferred
228
Analyst, Regulatory Solutions Resume Examples & Samples
- Responsible for the identification, assessment, escalation, management and reporting of key regulatory changes affecting I&TS and its clients
- Partners with key business and functional groups to successfully manage evolving global regulatory developments for I&TS, including assisting with the following
- Identification and monitoring regulatory changes in certain regions
- Preparation of Executive Summaries of relevant regulation
- Conducting preliminary impact analysis and completing written assessment including financial impact and potential revenue generation (HLIAR)
- Development of recommendation for project approval
- Preparation of Preliminary Analysis to transition to PMF Gate 3
- Preparation of PARs for Regulatory Projects
- Participation in Project Working Groups responsible for solution delivery and implementation; and
- Developing and enhancing reporting on regulatory projects
- Assessing proper project closure and achievement of regulatory requirements
- Maintain information on the GRS’ SharePoint site and intranet site
- Assist in the development of global reporting for management purposes
- Works with minimal supervision and guidance
- Common sense / pragmatic approach
- Analytical skills & knowledge
- Education in Finance, Economics, Mathematics, Science, Engineering or Law
- Advanced knowledge of the Office Suite (PowerPoint, Word and Excel)
- Experience using SharePoint (preferred)
- Language Requirements: English, French (preferred)
- Project management knowledge and/or training (preferred)
229
Regulatory Costing Analyst Resume Examples & Samples
- Improve your knowledge of data, broadband and other growth technologies
- Understand how these technologies are deployed in operations and used to deliver product/service offerings
- Develop and update Capital Costs and models for data, broadband and other growth technologies used in Bell Canada
- Contribute to the advancement of modelling the costs of providing services over current and new technologies
- Develop relationships with Subject Matter Experts within Product Marketing, Technology Development, and Network Planning and Operations to gain understanding of existing and emerging network technologies and provisioning practices
- Contribute to modernizing and advancing the use of MS Excel / MS Access based tools used internally to calculate, store and share costs with stakeholders
- Detailed knowledge of incremental costing and economic principles related to costing, including concepts of time value of money, and economic evaluators such as Net Present Value (NPV), payback period, rate of return, cost of capital, etc
- Ability to lead cross-functional teams as well as work independently in developing cost and benefit cash flows and interpreting the results of economic models to determine their reasonableness. Ability to communicate effectively, both written and verbally, with people at all levels within the company
- Ability to manage and understand customers’ needs and able find and process company data to support regulatory decisions
- Excellent working knowledge of MS Excel and Access with the ability to create well-organized and flexible Excel files and Access databases for use in existing evaluation tools
- Must have general knowledge about the Canadian telecom landscape including Bell Canada’s national footprint and relationships at the retail and wholesale levels
- Ability to work within a fast paced environment and be a self-starter
- General understanding of the Company’s operations and service offerings and familiarity with Bell Canada’s organizational structure would be an asset
- Familiarity with programming (C++, .net/VBA) is an asset
230
Operations Regulatory Control Resume Examples & Samples
- Ensure capital charges calculations are accurate and taking action to reduce capital charges for operational and financing categories of the monthly FOCUS report, such as Aged Fails and Repo/Reverse Repo and Stock Borrow/Loan Deficits, pursuant to SEC Net Capital rule 15c3-1
- Ensure the components of the customer protection process (SEC Rule 15C3-3) from an Operations perspective are valid. Mentioned components will include suspense, stock record and depot breaks, segregation breaks, etc
- Analyze data for regulatory reporting obligations to US regulators, such as Short Interest and Portfolio Margining to FINRA and FR 2004 and TIC S reporting to the Federal Reserve
- Maintain a centralized inventory of regulatory reporting obligations and Monitor and track the firm’s regulatory reporting obligations performed by Operations
- Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the firm
- Develop junior members of the team to become the future leaders of the organization
- An undergraduate degree in business, finance, other related fields.Strong analytical skills
- 4+ years of related experience in the banking industry
- Material experience with operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting
- Strong leadership, and project management skills and ability to manage many competing priorities
- Familiar with SEC Rule15c3-1 & 15c3-3
- Strong work ethic and highly motivated individual with outstanding record of professional achievement
231
Analyst Regulatory Development Resume Examples & Samples
- Observes strict process, organizational, and documentation requirements to support the regulatory change management process
- Makes day-to-day decisions with direct supervision
- Escalates matters to management as needed
- Minimum of two years progressive legal, audit, compliance, financial services operations, and/or regulatory experience, or equivalent
- Associate’s degree in business, finance, accounting, related field or equivalent experience. Financial industry experience preferable
- Strong interpersonal, organizational, communications, analytical, and project management skills
- Basic (move thorough to manager) knowledge of products, services, operations, and systems and understanding of laws, regulations and regulatory agencies related to assigned areas
- Proficiency with standard business IT packages (such as MS Office, Lotus Notes etc.)
232
Regulatory Accounting Specialist Resume Examples & Samples
- Preparing SEC Form PF, Form CPO-PQR, AIFMD, Form 13F and other regulatory reports for clients
- Managing client relationships
- Significant systems development responsibilities
- Coordinating New York operations with offices worldwide for seamless client coverage
- Developing new regulatory products including AIFMD
- Preparing OPERA standard due diligence report for clients
- Developing solutions to analytical problems independently
- Bachelors degree in accounting or related field
- 1+ years experience in the finance industry
- Working knowledge of financial products, especially fixed income and derivatives
- Prior hedge fund accounting experience
- Prior experience with regulatory reporting
- Capability to implement and improve structured processes
- Strong knowledge of MS Excel
- Form PF, PQR, and AIFMD experience is a plus
233
Senior Assoc Trans & Regulatory Publishing Resume Examples & Samples
- Production Management and Reporting
- Manage production process with print mail distribution vendor(s)
- Monitor and confirm production status at the beginning of each day to prepare for internal production meeting
- Prepare agenda and facilitate daily vendor production meetings to secure variances in production status directly from vendor
- Prepare, generate, and distribute production Job Status Report, Completed SLA Jobs Report, Production Counts Report, and Late Mailing Report as required for communication stakeholders
- Utilize SLA and QC metrics to generate Vendor Performance Report and distribute to required stakeholders as requested
- Utilize Print Operations SharePoint Production Incident Tracking System to track incidents and resolutions
- Utilize vendor-processing stats to identify possible duplicate billing counts on vendor invoices
- Update, generate and distribute Production Management Dashboard to key stakeholders as required
- Minimum 3 years’ experience in print production/traffic management and print operations management
- Financial Services industry experience
- Knowledge of Photoshop, Quark, Illustrator & InDesign is a plus
- Excellent organizational and production management skills (attention to detail, handling and juggling multiple priorities, managing tight timelines) are critical
- Excellent analytical skills with ability to identity trends and variances of production statistics
- Excellent trouble-shooting skills with ability to present actionable solutions
- Generates effective communications. Maintains good relations, and a positive image with vendors and co-workers. Promotes courtesy, objectivity and fairness
- Experience working with internal clients and external print vendors
- Ability to multitask and focus in a rapid environment
- Comfortable working independently as well as in a team environment
- Excellent problem-solver, team player, proactive and drive results
- Transactional/commercial print and process experience is a plus
- Bachelor’s degree preferred or equivalent experience within the Transactional Communications environment
- Strong knowledge on Microsoft Products
- Strong knowledge of SharePoint platform
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Operational Risk Governance & Regulatory Resume Examples & Samples
- Partner with ORM senior management in the Americas to provide effective operational risk governance in the region
- Maintain effective relationships with representatives from across the bank’s business and support areas in support of ORM’s regional agenda
- Determine agendas, coordinate materials, manage and minute the Americas OpRisk Committee (AORC). Drive discussion with members of the ORM management team and other stakeholders to make determinations of topics to include as well as ensuring effective escalation of operational risk issues or incidents in the region
- Produce Operational Risk materials for various Risk Committees and Board meetings including but not limited to Americas Capital Allocation and Risk Management Committee (CARMC), US BoD Risk Committee and Americas Control & Policy meetings
- Represent or deputize for Americas ORM at various regional and legal entity forums to facilitate the identification, assessment, escalation and mitigation of operational risks and to continuously evaluate and improve the control environment
- Manage and respond to information requests from regulators
- Participate in monthly meeting with the Federal Reserve Bank of New York (FRBNY) onsite team to discuss monthly AORC meeting materials and OpRisk programs & initiatives
- Ad hoc interactions with other regulators such as the Cayman Monetary Authority (CIMA), the New York State Department of Financial Services
- Monitor and review Key Risk Indicator (KRIs), loss data and risk appetite metrics for US and ex-US Americas locations
- Send out notifications for significant incidents impacting Americas Operations to senior regional management including Americas CRO, COO & CFO
- Coordinate ORM Risk Reporting team (RFDAR) to ensure timely and accurate OpRisk reporting to regional governance committees
- Work with various ORM functions to determine metrics scope and reporting requirements for ORM US Intermediate Holding Company (IHC) program
- Participate in major operational risk remediation projects (and cross-divisional projects as required) to address issues in the risk and control environment
- Provide training to the front office and ShS areas on the individual components of the Operational Risk Framework and infrastructure
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Regulatory Labeling Ops Senior Associate Resume Examples & Samples
- 50% Reviewing and approving labeling artwork under supervision of manager and other artworks as necessary
- 25% Track labeling document translations, including those in the linguistic review process
- 15% Distributes all labeling documents
- 10%Track submission and approval dates of labeling revisions
236
Capital Optimization & Regulatory Implementation Attorney Resume Examples & Samples
- Work on opinions and legal advice relating to netting and collateral enforceability advice for legal, credit risk and capital purposes, to comply with Basel 3 requirements as implemented by FINMA, CRDIV, US, and other regulators
- Make recommendations to senior management on due diligence, netting and collateral enforceability for legal systems, capital adequacy and credit line utilization purposes
- Provide legal guidance with respect to global regulatory developments impacting the firm’s derivatives, securities financing, and clearing businesses
- Partner with various departments within the firm to monitor, evaluate, and address the global business impact of regulatory and rule changes and draft related policies and procedures; advise senior front-office and compliance management regarding relevant challenges and solutions
237
Consumer Regulatory Report MIS Analyst Resume Examples & Samples
- MS or BS degree in Computer Science / Econometrics / Finance
- At least 5 years of relevant working experience in the banking industry
- Sound knowledge in banking local authorities (PBOC, SAFE, CBRC) regulations is preferred
- Excellent communication and problem-solving skills
- Must be self-driven and deliver results based on agreed targets
- Disciplined, self-motivated
238
Regulatory Quality Engineer Resume Examples & Samples
- Apply technical solutions to problem solving
- Apply technical solutions to Regulatory and Quality Engineering improvement projects
- Use technical writing skills to clearly describe technical information
- Understand standards and their application to medical devices
- Planning, protocol generation, testing and report generation for medical devices
- Generation and maintenance of Technical Files for medical devices
- Ensuring that records produced are filed in accordance with relevant procedures
- Supporting R&D projects
- Supporting audits
- Travel to Germany as required
239
EY Regulatory Lawyer, FS Legal Resume Examples & Samples
- An excellent grasp of the regulatory landscape in the UK and EU, and a broad understanding of major international regulatory initiatives (e.g from the US of Basel Committee)
- And understanding of trading arrangements, such as derivatives, stock-lending and repo and prime brokerage
- Whilst not essential, experience of financial crime issues including AML and ABC and any involvement in conduct or fraud related investigations is relevant
240
NA Lcl-regulatory Relations Resume Examples & Samples
- Develop working relationships with key regulatory agencies (FRB-NY, CFPB, etc.) and Internal Audit
- Coordinate (with Legal and Compliance) all reviews, actions, and meetings with various regulatory agencies and Internal Audit. Prepare materials, coordinate attendees, etc
- Respond to requests for information by gathering and packaging information from the business and control functions in a timely manner, ensuring time for review by business, legal, and compliance leaders. Provide periodic reporting as required
- To the extent any issues are identified, work with the CAO and Business leaders in the response and/or plan development and remediation execution to ensure responses & iCAPs are completed on a timely basis
241
Finance & Regulatory Data Administrator & Analyst Resume Examples & Samples
- 5+ Years of experience in Systems Operations, Application/Database Management, and/or consolidated Corporate Financial, Management or Regulatory Reporting
- College Degree in Information Systems, Accounting or Business Management
- Knowledge of Client Server technology, Data Warehousing and Reporting/Accounting/Analyst skills
- Experience with Enterprise Applications, SQL, PeopleSoft, Essbase, AutoSys, Unix/Linux, Abinitio and Business Objects preferred
- Needs to be proficient with PC desktop software especially MS Office products
- Demonstrated ability to multi–task and be detail oriented is essential
- Good communication, problem solving and analytical skills
242
Asia Regulatory Resume Examples & Samples
- Provides transparency to Technology & Data Senior Management about the status of
- Manage the Asia Regional Team responsible for managing responses to regulatory, audit, and client requests and monitoring resolution of regulatory and audit findings originating in that region
- Implement team processes in the Region. Work with peers to identify and define process enhancement opportunities
- Analyze requests to define the response required, establish response deadlines, and identify impacted technology personnel that will supply and approve the response content
- Mobilize the response effort by notifying impacted personnel and scheduling response preparation meetings
- Serve as a subject matter expert on technology risk management processes and associated regulatory requirements
- Collaborate with personnel tasked with preparing responses to technologyrelated requests to ensure the common goal of an accurate and timely response
- Collect responses and review them to ensure they are appropriate for the request
- Liaise with owners of regulatory and audit findings providing advice throughout the finding lifecycle including remediation plan development, execution, and closure
- Maintain the archive of responses to technology-related requests
- Prepare status reports for technology-related requests that will be used in Technology & Data Senior Management regular reporting
- Managerial experience in a multi-national corporation with a matrixed reporting environment
- Thorough knowledge of
- Regulatory requirements and technology risk management processes including technology governance, information security, business continuity planning, systems development, project management, and supplier management
- Regulatory supervisory processes
- Sound understanding of risk assessment methodologies, internal controls and industry technology risk management frameworks such as ITIL, CobiT, and ISO 27001
- Strong analytical skills required to enable independent research and accurate assessments of adherence to regulatory requirements
- Experience with applying the principles outlined in technology-related guidance published by significant regulators in the Region (e.g. China CBRC, Korea FSS, Japan FSA, Hong Kong HKMA, Singapore)Strong organizational skills and an ability to manage multiple demands and changing priorities. Detail oriented
- Outstanding communication and interpersonal skills. Ability to work effectively with all levels of the organization. Excellent influencing and negotiation skills
- Ability to draft high quality written products that are comprehensive, accurate, and tailored to the audience
- Prior experience in a regulatory agency as a bank examiner specializing in operational risk or information technology is strongly desired
- Prior experience in dealing with regulators across Asia, including the China CBRC, Korea FSS, Japan FSA, Hong Kong HKMA, Singapore MAS
- Technology audit background in a highly complex financial institution
- Industry Certification such as CISA, CISSP, CISM, CRISC
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Analyst, Marketing Regulatory Review Resume Examples & Samples
- In consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval
- Consult with advisors on their marketing initiatives
- Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
244
Regulatory Control Quality Assurance Analyst Resume Examples & Samples
- Timely and accurate production of key management reports to Global audience of key stakeholders across Operations, Technology and Compliance
- Reconciliation of data requested from the FCA vs. the data entry applications, developing the periodic reviews. Investigation and prioritisation of issues arising from the Transaction Reporting process and escalation to management where appropriate
- Extensive liaison with internal customers, notably Technology, Middle Office and Compliance
- Foster partnership with key contacts with open feedback
- Identification of areas for improving existing processes and controls
- Identify enhancements to the technology infrastructure, working in partnership with immediate management team, the Asset Class stakeholders, Compliance and Technology in agreeing prioritisation
- Team player who works well with colleagues of all levels in achieving value-added results
- The ideal candidate should have a minimum of 2-4 years banking experience
- Ability to build productive working relationships across Operations, Compliance and Audit (internal and external)
- Ability to interpret issues raised by individual entities and summarise the key issues to senior management and other stakeholders
- Understand impact of external factors (e.g. regulatory changes) on departmental strategy
- Understand the front to back technology used within the section
- Self-starter, able to work on initiative and organise themselves well
- Pro-active, likely to instigate change
- Resilient and tenacious
- Proven experience in Securities and Banking Operations, or in a Control or Regulatory/Compliance function
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Accounting & Regulatory Capital Policy Resume Examples & Samples
- Apply U.S. GAAP and regulatory rules to transactions and document accounting and regulatory analyses and conclusions
- Develop Morgan Stanley accounting and regulatory policies and periodically update policies as new guidance is issued
- 4 - 6 years of experience with at least 4 years in public accounting
- Financial Services/Securities industry experience is a plus
- Regulatory experience a plus
246
Regulatory Seniors & Managers Resume Examples & Samples
- 3 years+ in a consultancy, banking or legal environment with exposure to regulatory reporting, regulatory compliance etc
- A strong academic record within accountancy, legal or economics is preferred
- Strong interpersonal skills, drive and enthusiasm are a pre-requisite for this role
247
Regulatory Engagement Senior Application Developer Resume Examples & Samples
- Participate in design reviews and provide input to the design recommendations; perform code reviews and provide recommendations
- Bachelor or Master's degree in Engineering, Computer science or equivalent with relevant experience
- 8+ years experience working with a mix of enterprise development technologies including Java and J2EE and strong applicability of Object-Oriented techniques and principles
- Minimum 5+ years hands-on software development work experience in all phases of software development including design, configuration, testing, debugging, implementation, and support of large-scale, business centric and process based applications in large-scale distributed technology projects in a Java / J2EE environment
- J2EE skills - Java Servlets and JSPs
- CSS3 and HTML
- Development Methodologies like Water Fall, Agile, Scrum etc
- J2EE skills like JDBC, JPA, Messaging etc
- Spring and JPA (iBatis or Hibernate, etc)
- Messaging products like WebSphere MQ, TibcoEMS, etc
- Enterprise Service Bus like Mule ESB
- Working knowledge of ETL tools like Informatica etc
- Working knowledge of Business Intelligence (BI) and analytics tools like Cognos etc
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Regulatory Engagement Application Developer Resume Examples & Samples
- Come up to speed with the firm software development policies, standard and guidelines and comply with these standards
- Participate in design reviews and code reviews and follow recommendations
- Develop and unit test your work following the coding standards, guidelines and patterns
- Java 7 skills with understating in data structures and multithreading
- J2EE skills like Java Servlets, JSPs, JDBC, JPA and Messaging
- Integrated Development Environment like eclipse, RAD, JBuilder, etc
- Web technologies like Spring MVC, JavaScript, JQuery, CSS3 and HTML
- Application development on a RDBMS like Oracle. Create SQL queries
- Shell Scripts and Linux environment
- Exposure to enterprise products like WebSphere MQ, TibcoEMS, Mule ESB, Informatica and Cognos
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Regulatory Engagement Quality Assurance Analyst Resume Examples & Samples
- Create and maintain regression test packages
- Collaborate with Development to clarify test coverage and understand impact of changes
- Strong understanding of system testing methodologies
- Bachelor degree in computer science, information technology or other technical or related field or equivalent knowledge and experience
250
Regulatory Engagement Business Analyst Resume Examples & Samples
- Work with the business and technology team in defining, prioritizing and documenting functional and non functional requirement for Regulatory engagement application
- Gain strong expertise of the Regulatory Engagement business processes
- Work with Technology stakeholder to integrate application with firm wide centralized systems
- Expertise in documenting business process flows, requirement statements, requirement matrixes, use case, test plans and test cases
- Work with development team and development managers to articulate business objectives and requirements
- Collaborate with QA team and Development team to ensure end to end coverage of test scenarios
- Create and execute UAT scenarios/scripts and assist business user during UAT phase
- Accurately test application, record defects, coordinate with development team ensuring timely and effective resolution of defects
- Become the point of contact for developers, testers and other external team for Regulatory engagement related functional and non functional requirements
- Identify emerging issues during development and post development, proactively work with the project manager to -manage risk, issues and dependencies
- College degree in business or technology-related field
- 7+ years of IT Business Analysis experience preferably in Banking and financial service domain
- Strong understanding of SDLC
- Strong understanding of requirement gathering methodologies and documentation
- Good communication skills (verbal and written)
- Proven analysis success with complex application environments
- Demonstrated ability to work with geographically distributed and culturally diverse work-groups
- Demonstrated ability to drive all tasks until objectives and dates are met
- Demonstrated relationship management skills with the ability to build strong relationships within team and with external teams
- Demonstrated ability to create a collaborative environment and work through conflict to find appropriate solutions to key issues
