Regulatory Risk Analyst Resume Samples
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Regulatory Risk Analyst Resume Samples
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XS
X Streich
Xavier
Streich
6388 Joanny Junctions
Dallas
TX
+1 (555) 635 5048
6388 Joanny Junctions
Dallas
TX
Phone
p
+1 (555) 635 5048
Experience
Experience
Detroit, MI
Regulatory Risk Analyst
Detroit, MI
Parisian, Nitzsche and Heathcote
Detroit, MI
Regulatory Risk Analyst
- Develop a strong working relationship with the Work stream leads, Businesses, Independent risk and model developments team across the organization
- Work closely with all levels of Risk and Finance Management across products and business units in performing end to end project delivery activities
- Work closely with all levels of Risk Management across products and business units in performing end to end project delivery activities
- Provide support to the Basel Program Manager and Director as directed and assist with multiple high priority items
- Provide demos and address queries raised by Senior Management and Business/CRMS users
- Works autonomously, providing guidance and support to users through coaching on systems issues and answers queries
- End-to-end project management of data quality improvement projects and other initiatives across risk related businesses
Los Angeles, CA
Privacy & Regulatory Risk Analyst
Los Angeles, CA
Haag and Sons
Los Angeles, CA
Privacy & Regulatory Risk Analyst
- Assists in the development, tracking and reporting of department risk and performance metrics
- Prepares and regularly review annual goals and career development plan with manager/supervisor
- Assists the business by providing regulatory advice
- The role works in a varied environment including both scheduled deadlines and changing priorities
- Supports the conduct and administration of the department’s overall regulatory compliance risk management program
- Maintains, and improves upon, CWB Financial Group’s contract administration processes
- Assists the business and affected individuals in the mitigation and remediation of privacy incidents
present
Chicago, IL
Wholesale Credit Risk Rwa-regulatory Risk Analyst
Chicago, IL
Schuster Inc
present
Chicago, IL
Wholesale Credit Risk Rwa-regulatory Risk Analyst
present
- Calculating Risk Weighted Assets for Wholesale exposures using Basel III Advanced and Standardized approaches
- Develop and perform analysis of various reporting elements to explain the story behind the reported numbers
- Facilitate reviews with senior managers and stakeholders by creating presentations that demonstrate that cleanly and succinctly explain the RWA results
- Partnering with RWA work streams to document results and articulate RWA impact on regulatory reports. Document the results in a business-friendly language in a crisp and concise manner
- Performing quantitative analysis, due diligence and assess relevancy of the key risk weight parameters such as Delinquency, Tranche parameters forecasted by the Model development teams
- Define and perform attribution analysis of various risk parameters used for RWA forecasting
- Provide business inputs for the aspects related to implementation of Risk Weighted Assets forecasting, attribution analysis and regulatory reporting
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Chapman University
Bachelor’s Degree in Accounting
Skills
Skills
- Capable of doing end to end analysis to identify gaps and synthesizing ambiguous information into manageable strategic deliverables
- Ability to work around complex data and good working knowledge of data analytics tools like SQL, VBA and advanced Excel
- Detail oriented with the ability to quickly grasp and master new subject matter and related concepts, multi-task and work independently
- Should have excellent knowledge of and ability in Microsoft Excel and PowerPoint
- Ability to work with complex systems and data and good working knowledge of data analytics tools like SQL, VBA and advanced Excel
- Technically savvy with expert knowledge of excel for detailed data analysis and a sound understanding of data structures
- Good knowledge of Capital markets and financial products across various asset classes
- Good communication skills and ability to work in a global organization
- Ability to build strong relationships with stakeholders and manage their expectations
- Well organized and good attention to detail
11 Regulatory Risk Analyst resume templates
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1
Regulatory Risk Analyst Resume Examples & Samples
- Run CCAR Workbook
- Drive improvements in CCAR processes, data quality and consistencies across CMT and Risk organizations
- Participate and enhance Controls/Risk environment in different areas
- Interface and coordinate across IT teams, Quants, Risk Managers and Business Desk Leads
- Highly capable in driving change and innovation to deliver
- Strong background in project management and experience defining and documenting business requirements
- Capable of doing end to end analysis to identify gaps and synthesizing ambiguous information into manageable strategic deliverables
- Able to quickly grasp and master new requirements and related knowledge
- Ability to present to senior levels of management
- Microsoft Excel, Word, PowerPoint, Project, Visio and Access
2
Regulatory Risk Analyst Resume Examples & Samples
- Responsible for the preparation and review of Basel reports with senior management
- Identify, streamline and automate processes for effectiveness and efficiency
- Develop tools to help the businesses understand the impact of regulatory capital requirements and forecast capital usage given certain strategies
- Prepare ad-hoc and standardized reports per the needs of the business and technical users
- Strong written and verbal communication, presentation, and technical writing skills
- Strong organization, process and reporting skills
- Ability to partner with others to optimize results
- Develop a strong working relationship with Risk, Finance, Operations and business counterparts across the organization
- Problem solving skills with the ability to identify and implement data and process improvements
- Background in the following is a plus
- Citi’s organization and systems’ framework
- Managing and developing databases
- Advanced user of SQL, Business Objects, MS Excel and Access
3
Regulatory Risk Analyst Resume Examples & Samples
- Prepare regular and time-sensitive ad-hoc deliverables to the regulators and senior managements, closely working with industry and regional senior portfolio managers
- Involved in various policy-driven projects related with ICG credit risk reporting
- Advanced knowledge of EXCEL, Access, Visual Basic and Power Point
4
Regulatory Risk Analyst Resume Examples & Samples
- Identify and communicate key project risks, define mitigation strategies and manage to resolution
- Support the PMO by ensuring that all risks and issues are communicated effectively
- Capable of performing end to end analysis to identify gaps and propose solutions
5
Regulatory Risk Analyst Resume Examples & Samples
- MCA CSC Support
- Within the MCA CSC, provide key analysis and support to the MCA universe including MCA Champions, Analysts and owners on emerging themes, hot spots and
- Programme Management of MCA iCAPS processes
- Key support on technology planning and enhancement development
- Primary MCA Contact from the CSC to the RUK Cluster
- A solid understanding of financial products and processes
- Extensive prior Risk, Compliance and AML experience extremely advantageous
- The capacity to organise and prioritise workload within a complex environment with competing and subtle resource demands
- Russian, Ukrainian language skills required
- Top-drawer oral and written communication skills
- Strategic and goal-oriented focus
6
Regulatory Risk Analyst Resume Examples & Samples
- Bachelor’s degree in math, finance, economics or a related field or a law degree
- Five or more years of experience in risk management, corporate treasury, regulatory compliance, capital markets or finance
- Strong presentation, oral, and written communication skills
- Familiarity with bank regulations, bank regulatory compliance programs and communicating with regulators
- Understanding of risk management and capital markets related concepts
- Demonstrated experience interpreting regulations and evaluating programs to comply with those regulations
- Professional designation such as a FRM, CFA, CPA
7
Mortgage Lending Production Quality Monitoring Regulatory Risk Analyst Resume Examples & Samples
- Perform comprehensive loan level and systems risk and compliance analyses of mortgage loan origination operations (Retail, Home Mortgage Direct and/or Correspondent Lending) for adherence to all investors, insurers, and federal regulations
- Identify, compose, and ensure follow up of action plans identified during quality monitoring ensuring to escalate any issues that are not being remediated promptly by partnering with the appropriate LOB to resolve
- Perform scheduled testing of various mortgage loan origination operations policies and procedures
- Analyze data and produce scheduled quality control reports and make recommendations as to appropriate corrective action or gap-related solutions
- Report to Mortgage Lending Production Quality Monitoring Risk Manager material findings with respect to violations of federal regulation, investor/insurer guidelines, or suspicious loan activity
- Assist with the development and updating of departmental procedures
- Act as an alternate information security liaison for Retail, Home Mortgage Direct and/or Correspondent Lending
- Assist with monitoring of internal control records and business recovery plans for MLA
- Assist in management and coordination of audits performed by internal/external auditors with respect to mortgage Retail, Home Mortgage Direct and/or Correspondent Lending
- Assist with research and analyses of emerging loan origination related industry actions and concerns
- Promote effective communication with business partners to achieve optimum feedback and improve the value of the recommended actions to the LOB
- A minimum of 3 years of mortgage experience, quality monitoring/assurance/control, mortgage loan origination operations (Retail, Home Mortgage Direct and/or Correspondent Lending), risk management, and/or regulatory compliance
- Strong knowledge of all investor/insurer guidelines, applicable laws, regulations, and company audit policies and procedures and the ability to effectively interact with all levels of Senior Management, FDIC, CFPB, etc
- Experience with identifying operational risks and developing mitigating controls preferred
- Excellent interpersonal, leadership, analytical and problem-solving skills
- Knowledge of Microsoft Office (i.e. - Excel, Power Point, Word, Visio)
- Assist on special projects, as needed
- MBA supplemental education and/or experience in mortgage loan origination operations (Retail, Home Mortgage Direct and/or Correspondent Lending), including audit, quality control, underwriting or regulatory compliance
- Strong knowledge of the Unify mortgage loan origination systems and overall mortgage production processes (MLO, processing, underwriting, closing, and government insuring)
8
Mortgage Lending Servicing Quality Monitoring Regulatory Risk Analyst Resume Examples & Samples
- Lead and perform comprehensive loan level and systems analyses of mortgage loan performing and/or non-performing servicing operations for adherence for adherence to all investors, insurers, and federal regulations
- Lead and perform scheduled testing of various mortgage loan servicing policies and procedures
- Identify, compose, and ensure follow up of action plans identified during quality monitoring ensuring to escalate any issues that are not being remediated promptly by proactively partnering with the appropriate LOB to resolve
- Report to Mortgage Lending Servicing Quality Monitoring Regulatory or Investor, Insurer Risk Manager material findings with respect to violations of federal regulation, investor/insurer guidelines, or suspicious loan activity
- Act as an alternate information security liaison for Servicing
- Assist in management and coordination of audits performed by internal/external auditors with respect to mortgage non-performing servicing
- Assist with research and analyses of emerging servicing-related industry actions and concerns
- A minimum of 3 years of mortgage experience, quality monitoring/assurance/control, mortgage performing and non-performing servicing, risk management, and/or regulatory compliance
- Able to support multiple tasks, with varying levels of complexity, importance and involvement
- Extensive knowledge of Microsoft Office (i.e. - Excel, Power Point, Word, Visio)
- MBA supplemental education and/or experience in mortgage servicing, including audit, quality control, or regulatory compliance
- Strong knowledge of the MSP servicing system and overall mortgage servicing processes (Acquisitions/transfers, Customer Service, Escrow Administration, Payments, Payoffs, Investor Reporting, Collections, Loss Mitigation, Foreclosure, Bankruptcy, etc.)
9
Regulatory Risk Analyst Resume Examples & Samples
- Interact with all users of Facility Management/Document Solutions, ensuring that the regulatory requirements are met, while enhancing and supporting the business processes
- Work with other CERS&T Functional Leads, Business Leads, Technology partners and Core Team to provide common solutions for credit facilities and documentation processes
- Responsible to support the Functional Lead/Project Manager in the delivery and implementation of projects related to Facility & Document Management solutions
- Act as the point person and support to RSS, CRMS and the businesses on an on-going basis on all non-routine facilities and documentation queries and issues
- Ensure the projects being proposed are in line with the Risk Architecture Systems and Technology Roadmap and the Facility/Document Management strategy
- Provide demos and address queries raised by Senior Management and Business/CRMS users
- Work closely with Senior Management and Business/CRMS users to gather requirements for system enhancements and/or new functionality
- Work with Technology partners on the enrichment of business requirements for Functional Requirements Documents
- Prepare comprehensive User Acceptance Test scripts
- Provide guidance to technology where required; monitor enhancements milestones and work with all parties to resolve issues where a milestone is at risk
- Manage the training and roll out of functionalities across all businesses and regions. Ensure release notes are sent to RSS for distribution and user manuals are updated
- Broad credit and legal documentation support for the various business groups (ICG Risk, CRMS, CCB) including policies and procedures
- As a senior professional, acts as a broad resource to Senior Management, the business and CRMS, looking beyond specific job tasks, taking initiatives, raising issues, and finding and implementing solutions
- Responsible for ensuring that the Risk Management business has the right technical tools to support the Risk Management process, and that all systems are compliant with the Risk Management policies
- At least 2 years experience in documentation or credit administrative role
- Sound knowledge of the credit approval process and the roles and responsibilities of the key participants
- Broad understanding of credit source systems (RAPID, Documentum, CitiRisk Commercial, CDM, Approvals & Oasys) and any other ancillary credit/facilities/documentation related systems
- Should have excellent written and verbal communication skills including analytical and conceptual as well
- The ability to work independently, handle multiple tasks simultaneously and effectively take on leadership roles in various areas
- Strong organizational, time management (prioritization of tasks)
- Strong Attention to detail and customer focus
- Solid knowledge of Microsoft Excel and PowerPoint
- BA in finance or related field
10
Ccar Rwa Forecasting & Analytics Regulatory Risk Analyst Resume Examples & Samples
- Creation of Senior Management-ready materials, particularly CCAR presentations to Lines of Businesses, Independent Risk Management, Finance and Regulators
- Develop a strong working relationship with the Businesses, Finance, Front Office, Treasury, Technology, Audit, Independent risk and other counterparts across the organization
- Experience in Risk is strongly preferred: CCAR, DFAST, Market Risk, Credit Risk are all highly desirable areas of expertise
- Able to navigate through large organizations to streamline and summarize multiple information points; create repeatable process to build consistency in presenting information
- Enjoy variability in workload, particularly in a wide range of quantitative and non-quantitative projects
- 6 - 10 years’ experience in related field
11
Regulatory Risk Analyst Resume Examples & Samples
- At least one year experience in years in documentation related tasks (example CRMS Documentation Admin role) and at least one year in a credit administration role (CRMS CRA), Any experience in other credit/operations related role is a plus
- Good understanding of ICG and Commercial credit and operational policies and procedures, including an excellent command of credit facilities, documentation, collateral and support policies
- Sound knowledge of monitoring processes and roles and responsibilities of participants in the risk processes
- Basic understanding of credit source systems (RAPID, Documentum, CitiRisk Commercial, CDM, Oasys, OFS/CitiRisk Availments) and any other ancillary credit/facilities/documentation related systems
- Strong understanding of Credit Risk Management Services (CRMS CRA) and Documentation processes, Operational processes and procedures
- Fair understanding of Enterprise and Credit Risk concepts
- Computer literacy – Office Suite, etc
- English language; other languages (i.e. Spanish) may represent an advantage
- Quality orientation and attention to detail
- Interpersonal skills/ Communication skills / teamwork/Assertiveness
- Ability to deliver a sound product under tight cost and time budget constraints
- Proactive, problem-solving approach to responsibilities
- Proactive involvement in business process enhancements
- Strong Business Writing Skills
12
Regulatory Risk Analyst Resume Examples & Samples
- Own and supervise Exposure and RWA Actual numbers for Trading Book Securitization (Cash and Derivatives) and Securities Financing Transactions (SFT)
- Manage various monthly activities including the Exposure and RWA reporting to various stake holders / owners across business and independent Risk
- Delivery of monthly Exposure and RWA credit risk moves commentary for regulatory / internal reporting
- Prompt exposure moves validation for month-end with a view to monitor total exposure at entity and group levels
- Effective design of root-cause analysis methods for exposure movements to ensure minimum turnaround time
- In instances where data/methodology issues are identified, strive for strategic resolution, and coordinate the prioritization of remediation work with partners, with a view to reduce number of tactical adjustments
- Understand end-to-end data flow and functioning logic of our Credit Risk Management infrastructure
- Actively participate in working group/steering committees of key regulatory projects, and contribute to quarterly corporate reporting and internal audit reviews as a SME
- MBA (equivalent finance degree)
- 5-8 years of financial services experience
- At least 2 - 3 years experience of working in credit risk reporting and analysis
- Knowledge of Basel – IIII Advanced and Standardized approach and working experience
- Strong analytical skills to identify the scope of issues and ability to provide appropriate solutions
- Good knowledge of Capital markets, financial products across various asset classes
- Good knowledge of risk management principles and risk measurement methodologies
- Ability to work around complex data and good working knowledge of data analytics tools like SQL, VBA and advanced Excel
- Good communication skills and experience of working in a global organization
- Build strong relationships with stakeholders and manage their expectations
- Collaborate closely with partner teams to develop solutions
13
Ccar, Regulatory Risk Analyst Resume Examples & Samples
- Consult with various business units, regulatory, and controllership staff to understand their analytics needs. Consult with IT and data teams to obtain data and required assistance
- Adopt best practice modeling techniques,
- Partner with internal IT to contribute to the integration of the models in production
- 3+ years of progressive experience in econometric/statistical modeling of credit losses within a commercial bank or a risk consulting firm
- Solid understanding of stress testing and CCAR/DFAST exercises
- Excellent analytical, econometrical and statistical skills
- Programming skills required to support model development and implementation in development environment including SAS, R, SQL, VB, C/C++
- Master’s degree in a quantitative discipline, such as Economics, Math and Statistics
14
Regulatory Risk Analyst Resume Examples & Samples
- Master’s degree in business, finance, accounting, or related field, or equivalent work experience
- Must have at least 7 years of retail risk and team management experience with some understanding of regulatory domain including CCAR, FDIC, & Basel
- Experience in SDLC and test strategy is a plus
- Highly developed communication & presentation skills. Excellent project management skills
- Well verse in breaking down complex matters into core issues and root causes that can be more readily addressed
- Knowledge of Microsoft offices tools & data base concepts
- Proven performance in roles requiring conceptual thinking and strong, creative, analytical skills
15
Regulatory Risk Analyst Resume Examples & Samples
- Retail Basel & Consumer Risk Reporting/MIS Tools
- Retail Risk Modeling & Analytics
- Retail Risk General Applications
- Coordinate internal resources and third parties/vendors to ensure on-time delivery of data and systems delivery projects to meet regulatory commitments and to establish the Retail Risk Target State
- Partner with peer regulatory project leads to prepare and manage overall program views across multiple projects, businesses and geographies
- Measure project performance using appropriate tools and techniques
- Master’s degree in business, finance, accounting or related field, or equivalent work experience
- Demonstrated project management skills and ability to oversee several projects at once. A PMP certification would be a definite asset
- At least 5 years of experience managing retail risk management projects involving both technical and non-technical tasks
- Good understanding of key retail/consumer credit risk performance metrics, macroeconomic indicators, and general banking concepts
- Experience in the design, implementation and governance of cross-functional risk programs, frameworks and processes across the credit life cycle
- Good understanding of principles of information technology software development & change management methodologies (Agile, Waterfall)
- Client relationships/Business partnerships
- Retail Risk Data Governance
16
Regulatory Risk Analyst Resume Examples & Samples
- Knowledge of capital markets risk exposure categories such as banking book (loans, unused, contingents, AFS), derivatives, securities financing transactions and securitization
- Technically savvy with expert knowledge of excel for detailed data analysis and a sound understanding of data structures
- Detail oriented with the ability to quickly grasp and master new subject matter and related concepts, multi-task and work independently
- Experience with data flow, requirements and process/procedure documentation
17
Regulatory Risk Analyst Resume Examples & Samples
- Solid understanding of credit policy
- Excellent analytical, conceptual, communication and interpersonal skills
- Proven track record in thriving in rapidly changing environments, flexible mindset, ability to place substance over form, and work with complex systems with lots of integration points and keeping a mindful of all ends
18
Regulatory Risk Analyst Resume Examples & Samples
- Manage Exposure and RWA Actual numbers for many exposure types, such as Banking Book exposures (Direct, Unused Committed, Contingent & Purchased Receivables), Trading Book Securitization (Cash and Derivatives) and Securities Financing Transactions (SFT)
- Provide analysis on commentary Exposure and RWA variances to various stake holders / owners across business and independent Risk
- Provide analysis on monthly Exposure and RWA credit risk changes, remediate where applicable to ensure the accuracy and integrity of the RWA
- In instances where data/methodology issues or gaps are identified, work with partners to and coordinate the prioritization of remediation of the work, with a goal to reduce number of RWA adjustments each month
- Understand end-to-end data flow Credit Risk systems
- Actively participate in working group/steering committees for key regulatory projects, and provide ongoing guidance for all corporate reporting and internal audit reviews as a SME
- 5-8 years of financial services experience, at least 2 - 3 years’ experience of working in credit risk reporting and analysis
- Knowledge of Basel – IIII Advanced and Standardized approach and working experience (Preferred)
- Good knowledge of Capital markets and financial products across various asset classes
- Ability to work with complex systems and data and good working knowledge of data analytics tools like SQL, VBA and advanced Excel
- Good communication skills and ability to work in a global organization
- Ability to build strong relationships with stakeholders and manage their expectations
19
Regulatory Risk Analyst Resume Examples & Samples
- Good knowledge of banking practices and global functions, as well as related legal and regulatory requirements
- Comprehensive knowledge of audit/risk assessment techniques and principles
- Fluent in Ukrainian and Russian, good command of English
- Adequate knowledge of Microsoft Office
- Master degree in Banking/ Finance/ Legal/Economics/Mathematics (or equivalent)
20
Regulatory Risk Analyst Resume Examples & Samples
- Business analysis – coordinating with business and IT partners on requirements gathering, determining and verifying the business requirements
- Data analysis – analyzing, validating system feeds and calculated results
- Ensuring that all risks and issues are communicated effectively
- Strong background in project management and experience in defining business requirements
21
Regulatory Risk Analyst Resume Examples & Samples
- Analysis to support Treasury Risk Systems projects
- Determine whether Treasury risk systems initiatives meet Business, Regulator, Audit and Policy requirements and resolve flagged issues
- Perform targeted business analysis to validate, verify and document requirements with Treasury Risk
- Work with our Technology partners to analyze requirements in support of long-term and tactical project plans. Identify and communicate key project risks. Work with Risk and Finance on testing and roll-outs
- Analyze business and regulatory requirements, assist with development needs, develop necessary project plans, identify and communicate key project risks and manage open issues to resolution
- Support key decisions with detailed analysis
- Track and maintain change requests so that changes and the evolution of requirements are traceable
- Support more effective and timely decision making across the global Risk Organization and work with all risk disciplines
- Ensure that all risks and issues are communicated effectively
- Coordinate efforts with Risk Methodology teams
- Minimum 5 years of hands on program management experiences in top financial services organizations
- An understanding of financial models, especially interest Treasury and bank products and the latest developments in Basel III and CCAR preferred
- Must be well-organized
- Undergraduate degree in quantitative field such as Math, Physics, Computer Science is essential
22
Regulatory Risk Analyst Resume Examples & Samples
- Work with project manager lead on Deb Investment Securities as it relates to CAP’s and MRAs and other projects related to enhancing better data quality
- Work with the FRA GDRS lead as a back-up by helping document system deficiencies, work on project plans and help prioritize each of those projects based on the importance determined by CORA
- Work on regulatory projects that may come about from internal or external audits
- Minimum of 5+ years of hands on experience in the financial services industry
- Must be a self-starter and able to work independently
- Must be able to communicate and interact effectively with clients, project managers, and IT stakeholders
- Strong proficiency in MS Excel, MS Word, and MS Project
23
Regulatory Risk Analyst Resume Examples & Samples
- Work closely with Risk analytics across risk dimensions such as credit, market and other risks and assist in implementing test models; contribute to the building of analytics platform
- Work closely with all levels of Risk Management across products and business units in performing end to end project delivery activities
- Strong programming skills (acquired academically or through hands-on experience); preference for C++ and Python
24
Regulatory Risk Analyst Resume Examples & Samples
- Analysis to support Market Risk Systems projects related to FRTB
- Determine whether market risk systems initiatives meet Business, Regulator, Audit and Credit Policy requirements and resolve flagged issues
- Perform targeted business analysis to validate, verify and document requirements with the global trading businesses
- Work with Risk and Finance on testing and roll-outs
- Support key decisions with detailed market, credit, trade and counterparty analysis
- Development of management reporting and project overview presentations
- Must be expert user of Excel and PowerPoint
- An understanding of financial models, especially interest rate, FX, Equity, Commodity, Credit Derivatives models and the latest developments in the Basel III, CVA and CCAR, preferred
25
Regulatory Risk Analyst Resume Examples & Samples
- At least 1 year of relevant professional experience, performing similar tasks in a bank or in a financial institution
- Moderate knowledge of financial and regulatory risk reporting
- Knowledge of Investments and Securities Products
- Knowledge of the standard computer tools, in particular, strong proficiency in Microsoft Excel and Access
- Excellent people skills: ability to interact successfully with regulators, business partners and technology teams
- Team player with the ability to work with minimal supervision
26
Regulatory Risk Analyst Resume Examples & Samples
- Develop a solid understanding of the workings of the compliance monitoring systems, including Bloomberg, the relevant security classification systems, the fund accounting system and other external data sources. Follow-up immediately on any data issues or rule coding irregularities that may be creating false negative or false positive investment breaches
- For both new client investment mandates and existing mandates, position must have an understanding of all regulatory rules and all client specific rules that are applicable for each account/mandate under his/her responsibility and ensure all applicable investment restriction rules are coded on the relevant compliance monitoring system in an accurate and timely basis (for new mandates) and amended, when required, (for existing mandates)
- Escalate immediately to the portfolio manager and senior management, as appropriate, for any investment rule breaches
- After conducting a review of all relevant documentation provided by Client Services Group, provide approval to open up new client accounts. An understanding of AML rules as they impact TDAM is important for this accountability
- To meet the prior listed accountabilities, be current on all US and Canadian investment management regulations, including the Ontario Securities Act rules, the Canadian NI 81-102 mutual fund rules, the U.S. Investment Companies Act mutual fund rules, the U.S. Adviser’s Act rules, AML rules and Canadian and U.S. pension rules. Regulatory rules include investment restrictions within an investment mandate as well as the increasingly complex and changing area of equity and fixed income trading
- Play an education role for TDAM, being the source of expertise in Canadian and U.S. regulatory knowledge
- Strong attention to detail and the ability to work within a team to an effective outcome
- Strong knowledge of Microsoft Excel and Access software
27
Technology Regulatory Risk Analyst Resume Examples & Samples
- Provides transparency to Technology & Data Senior Management about the status of
- Fulfilling all technology-related requests received globally
- Facilitates timely closure of technology-related regulatory and audit findings by advising on remediation plan development and execution
- 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
- 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*L1-KW1
- Sound knowledge of Asia financial market laws and regulations impacting technology risk management processes including technology governance, information security, business continuity planning, systems development, project management and supplier management
- 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
- 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
- Fluent English is essential for this position
- Successful track-record of regulatory response coordination
- Technology audit background in a highly complex financial institution
- Industry Certification such as CISA, CISSP, CISM, CRISC
- Solid understanding IT/Cyber Security tools & practices
28
Senior Technology Regulatory Risk Analyst Resume Examples & Samples
- Fulfilling all technology related regulatory and audit requests received
- Progress with remediating regulatory and audit findings
- Ensure responses to technology related regulatory and audit requests are fulfilled efficiently, consistently, accurately, and timely
- Maintains an archive of regulatory responses to technology related requests
- Facilitates timely closure of technology related regulatory and audit findings by advising on remediation plan development and execution
- Regular interaction with senior managers and organizational partners including Technology & Data, Regulatory Relations, Operational Risk, Compliance, Legal, and Internal Audit
- Analyze requests to define the response required, establish response deadlines, and identify impacted technology personnel that will supply and approve the response content
- Serve as a subject matter expert on technology controls, risk management processes and associated regulatory requirements
- Collaborate with personnel tasked with preparing responses to technology-related requests to ensure the common goal of an accurate and timely response
- Collect responses and review them to ensure they are responsive to the request
- Obtain management approval on exam request response
- Organize and host exam status meetings with content providers and Subject Matter Experts
- Prepare status reports for technology related requests that will be used in Technology & Data Senior Management regular reporting
- 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
- AICPA Statement on Standards for Attestation Engagements (SSAE) No. 16
- Solid understanding of regulatory supervisory processes
- Sound understanding of risk assessment methodologies, internal controls and industry technology risk management frameworks such as NIST, ITIL, CobiT, and ISO 27001
- Strong analytical skills required to enable independent research and accurate
- Experience with applying the principles outlined in the Federal Financial Institutions Examination Council (FFIEC) Technology Handbooks
- Strong organizational skills and an ability to manage multiple demands and changing priorities
- Outstanding communication and interpersonal skills
- Prior experience in a federal regulatory agency as a bank examiner specializing in operational risk or information technology is strongly desired
- Technology audit or risk management background in a highly complex financial institution
- Solid understanding of IT/Cybersecurity tools & practices
29
Regulatory Risk Analyst Resume Examples & Samples
- Responsible for implementation of key Operational Risk Technology initiatives
- Business analysis – coordinating with Operational Risk Management, Front Office (business) and IT partners on requirements gathering, determining and verifying the business requirements
- A minimum of 3-5+ years’ experience with project management practices or related responsibilities (operational change management, reengineering) in a financial services institution is required
- Understanding of Operational Risk Management concepts is a plus
- Able to quickly grasp and master new subject matter and Regulatory related concepts
30
Regulatory Risk Analyst Resume Examples & Samples
- Assess proposed technology change actions against approved requirements, UAT results, and required documentation standards, and approve changes as appropriate
- Evaluate emergency change requests for out-of-cycle approval
- Determine, in consultation with business representatives, security entitlement approvers across the application portfolio
- Validate appropriateness of, and approve non-functional security entitlements to application components as appropriate
- Perform periodic entitlement reviews for the application portfolio
- Syndicate application downtime requests with global business representatives, providing approvals as appropriate, and review / approve production release documentation
- Develop and maintain departmental technology application change management artifacts, and reconcile changes against budgeted programs
- Review, syndicate, and recommend approval, if appropriate, of application availability management, capacity management, continuity management, information security management, and SLA management service design components
- Execute application business owner responsibilities for COB and volume testing
- Perform other miscellaneous business-side technology application governance responsibilities, as required by internal policies or by the department
- Develop and maintain business change management approval processes
- Successfully manage relationships with clients and all stakeholders
- Bachelor’s degree in a business or technology discipline, or equivalent work experience
- Experience providing business management and/or oversight over technology change functions
- A good understanding of ITSM principles – ITIL in particular – would be a definite asset
- A good understanding of Citibank information technology, information security, and project management policies, principles, and practices would be a definite asset
- A good understanding of existing Citibank risk management computer applications would be a definite asset
- A good understanding of key retail/consumer credit risk performance metrics, macroeconomic indicators, and general banking concepts would be a definite asset
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Regulatory Risk Analyst Resume Examples & Samples
- Market risk and/or CCR management and a good appreciation of notion of risk sensitivities, principles of risk models like VaR, SVaR, IRC etc and measures like EPE, EAD etc, would be key
- Knowledge and good appreciation of regulation like Basel 2, Basel 2.5 and Basel 3 would be a definite advantage
- Governance type of work including setting up Committee and Working Group meetings of experts to discuss model related questions and ensuring key regulatory issues are discussed
- Analytical approach to identify and focus on the issues that are important and matter most; materiality assessment
- Excellent written and oral communication skills are essential
- Ability to anticipate reactions
- Effective and efficient management of interaction with various areas within Citi (e.g. Risk, Finance, Ops etc) as well as, importantly, the PRA
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Regulatory Risk Analyst Resume Examples & Samples
- Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank’s and unit’s risk appetite and risk management framework
- Knowledge of the decision-making process and associated tools and techniques; ability to accurately analyze situations and reach productive decisions based on informed judgment
- Knowledge of tools and approaches of financial analysis; ability to read, interpret and draw accurate conclusions from financial and numerical material
- Knowledge of tools, techniques, and strategies applied in financial risk management; ability to quantify, qualify, and manage financial risk
- Knowledge of concept, methods, and processes of internal control; ability to create, implement, evaluate and enhance processes in internal controls
- Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels
- Knowledge of planning and organizing concepts and best practices and ability to mobilize both time and resources to get things done
33
AVP, Regulatory Risk Analyst Resume Examples & Samples
- Work with the FRI Global Default Repository System (GDRS) lead as a back-up by helping document system deficiencies, work on project plans and help prioritize each of those projects based on the importance determined by CORA
- Rotational support for platforms managed within team under Global Wholesale Program Management
- Creation and maintenance of team sharepoint (or Collaborate) site materials and metrics
- 2+ years of hands on experience in the financial services industry
- Proven analytical and problem solving skills with an understanding of risk management
- Must be a self-starter and be able to work independently
- Must be able to communicate and interact effectively with clients, project managers and IT stakeholders
- Must be well organized and able to direct a small team to meet stakeholders delivery commitments
- Project management experience with accountability for delivering cross functional initiatives
- Strong proficiency in MS Excel, MS Word, MS Project, Sharepoint, Collaborate
34
Regulatory Risk Analyst Resume Examples & Samples
- Manage cross-functional dependencies and foster integration and coordination with other related significant projects, especially local and in-business priorities and dependencies
- At least 5 years of experience in retail risk management
- Excellent understanding of key retail/consumer credit risk performance metrics, macroeconomic indicators, and general banking concepts
- Understands retail risk management business processes, controls, and priorities – and is adept at quickly assessing impacts, limitations, and gaps within IT infrastructure on key retail risk business activities (e.g, regulatory reporting, modeling and analytics)
- Experienced facilitator, especially in transitioning or challenged environments
- Engages business and functional managers to mitigate risks
- Must demonstrate perfected Engligh (spoken and written)
- Well versed in breaking down complex matters into core issues and root causes that can be more readily addressed
- Ability to communicate complex issues with absolute precision and clarity
- Able to identify and influence key decision makers across various levels and functions within the organization
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Emerging Regulatory Risk Analyst Resume Examples & Samples
- Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
- Identifies issues and drafts reports for review by more seasoned compliance professionals
- Strong verbal and written communication skills and strong interpersonal skills
- PC proficiency to include strong Word and Excel experience as well as working knowledge of Access
- Ability to analyze data and facts
- Ability to learn additional system
- Needs to be a self-starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal and financial risks to the company
- Evaluating the impact and applicability of public regulatory events (e.g. press releases, rulemaking, industry releases, etc.) on the banking industry through communication with subject matter experts
- Drafting targeted communications synthesizing regulatory events and their impact on the businesses
- Database data entry in accordance with Emerging Regulatory Risk process
- Maintaining the regulatory event databases
- Compiling, extracting, and communicating trending information from the regulatory event databases using metrics and targeted communication
- Assisting the Emerging Regulatory Risk Manager with the development and maintenance of the Emerging Regulatory Risk process
- High level of attention to detail in work product
- Proficiency in managing deadlines of multiple items in process
- Proficiency in creation/maintenance of electronic content (spreadsheet, word processing, presentation, database)
- Ability to collaborate effectively with multiple stakeholders toward a common goal
- Ability to analyze, evaluate and synthesize data and facts
- Ability to effectively communicate with stakeholders to determine applicability, impact, and action taken in response to emerging regulatory risk
- Excellent written and oral communication skills, particularly for use in drafting communications and reporting for review by stakeholders, including senior level management
36
BA Regulatory Risk Analyst Resume Examples & Samples
- This is a critical role for managing Barclays UK horizon regulatory risk to ensure regulations are identified and assessed accurately in a timely manner, so as to enable a strategic compliance response for Barclays UK
- As well as a critical risk and control role, the role will support the identification and development of strategic and business opportunities for Barclays UK
- An ideal candidate would be someone who has a natural flare and passion for the regulatory space and a genuine interest in reading and understanding the regulatory requirements
- The candidate will be supported by an AVP and senior VP as they develop in this role to become a regulatory expert
- The candidate will develop their business, product and financial regulatory knowledge to be able to assess regulations for Barclays UK impact
- Opportunities for further career development include regulatory interpretation, strategy and business development resulting from regulatory initiatives, and regulatory impact assessment
- Responsible for supporting the monthly Barclays UK Regulatory Horizon Dashboard process, maintaining and analysing the Long List of consultation papers and regulations, as well as supporting the regulatory horizon management process
- Investigation and research of upcoming regulatory requirements impacting Barclays UK, business analysis of potential impacts, and drive key messages from data/information analysis
- Support for delivering effective business reports and presentations for senior stakeholders
- Maintenance of effective governance documentation, as well as organising and managing stakeholder meetings
- Ability of working in an unstructured environment and working through challenges of striking a balance between moving regulatory landscape and articulating the real life impact of the regulation on the bank
- Ability to research regulations independently and use initiative to plug knowledge gaps
- Experience working with MS Excel and using its functionality to manage and analyse data sets (i.e. VLookups, pivot tables, data presentation)
- Experience in tracking changes to existing regulations and identifying upcoming regulations that will impact Barclays UK. Experience of working with a global bank would be an added advantage
- Experience of drafting and interpreting regulatory updates from regulatory texts (e.g. legislations, directives, etc) and demonstrate examples where these were translated into a language easily understood by the business (e.g. regulatory summary)
- Experience working with MS Project for basic project planning
37
Regulatory Risk Analyst Resume Examples & Samples
- The role purpose is to clean up Citi’s Agency lending reconciliation with current $900m EAD impact
- A continuous monitoring of new breaks and resolution of breaks
- Working with Citi’s middle office and front office to raise and resolve breaks
- Develop relationships with Agents
- Establishing a new process for fast and accurate resolutions of data quality issues related to Agency Lending
- Experience of leading project teams and exerting influence in order to ensure that deliverables are met
- A comprehensive knowledge of the risks associated with trading book products specifically Securities
- An in-depth understanding of Basel III and the calculation of EAD and RWA for trading book products
- Excellent people skills: ability to interact successfully with regulators, business partners, technology teams, our technical infrastructure groups and technology managers
- First rate data analysis skills
- A high competency level with MS Access/Excel/Project and SQL
- Degree or post-graduate Qualification: Master Degree
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Senior Regulatory Risk Analyst Resume Examples & Samples
- Evaluate quantitative and qualitative key metrics against strategic objectives
- Identify areas that need improvement and/or areas where risk tolerances should be adjusted to align with heightened standards
- Expert subject matter knowledge to coach entire risk teams and motivate others to reach goals
- Role will require influencing risk reduction actions and/ or challenging non-optimal decisions. Interactions will include all lines of defense risk teams and have authority to effectively represent the business division
- Highly visible and most complex evaluations communicating with diverse partners, in a leadership capacity. Programs will encompass multiple risk domains across multiple business lines
- Identify strategic quality initiatives and recommend changes or adjustments of program design to meet objectives
- Implement design corrections/ improvements as needed
- Participate in / lead initiative with business stakeholders in identification of risk indicators/controls
- Collaborate with business leaders to define data /metrics used to measure risk
- Risk Management Culture: Consult (and influence corrections) with management regarding risks, exposures or control profiles and maintain contact with 2nd Line of Defense(LOD) peers to help define communications of risk culture/ tolerances
- Bachelors or at Least 7 Years Specialized Knowledge
- Effective and decisive decision making skills as well as ability to build consensus
- Strong communication skills to assist in influencing and directing a team and/or collaborating with various stakeholders
- Risk Management Skills, Risk certification preferred, or willingness to obtain
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Senior Regulatory Risk Analyst Resume Examples & Samples
- Commenting on proposed changes in regulation or legislation and developing and shaping professional standards that reflect current regulation, legislation and good practice
- Balance business opportunities and other commercial considerations, where appropriate, with compliance risks to maximise corporate performance and minimise financial, regulatory and reputational loss
- Work within reporting requirements and guidelines of the FCA and other regulators to prepare the non-financial elements of the RMAR and other regulatory returns
- Identify and resolve problems in a timely fashion, referring more complex problems to the Regulatory Manager
- Prepare and/or coordinate the completion of new license applications and regulatory approvals, including change in control applications, approved persons, Appointed Representatives and associated withdrawals as well as maintaining existing licences and approvals accurately and to agreed deadline
- Support the Regulatory Manager in reviewing and implementing appropriate controls and documentation to support the regulatory reporting processes in line with the wider Risk and Control Framework
- Oversee the development and delivery of periodic Approved Persons training on relevant compliance topics
- Deal with ad-hoc compliance and regulatory queries from clients and colleagues
- Monitor regulatory developments through so-called “horizon scanning” and impact analysis, the output of which should be targeted and bespoke for AJG and inform the business about potential threats, risks, emerging issues and opportunities as well as guiding the development of professional standards
- Report findings as appropriate to the Compliance and Risk Departments and all relevant boards and committees
- Dealing with any inquiries from and leading on behalf of the business during inspections or audits undertaken by the FCA and other regulatory authorities from time to time
- Assist the Regulatory Manager in monitoring and responding to changes in the regulatory boundary in all regions that the company operates
- Develop appropriate domestic and international professional standards in response to new rules, guidance, regulatory standards and AJG Group policy, in order to comply with generally accepted principles of compliance and supporting the strategic and operating requirements of the AJG Group
- Ensure appropriate socialisation and feedback loops with internal stakeholders for new professional standards and material changes to existing ones
- Embed policies as required by business changes/growth and due to change in regulation
- Assist the Regulatory Manager, Chief Compliance Officer, Chief Risk Officer and Chief Risk & Compliance Officer in developing and maintaining productive relationships with internal stakeholders and forging productive and credible working relationships with regulators
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AVP Regulatory Risk Analyst Resume Examples & Samples
- Analyse regulations and provide technical overviews of compliance requirements and high level views of impact on Barclays UK
- Conduct traceability mapping & requirements analysis between regulations, rules, requirements and solution to provide an auditable view of how Barclays UK is complying with the regulations
- Define Body of Evidence requirements to demonstrate compliance with the regulations
- Review business controls against regulatory requirements to demonstrate Barclays UK’s ongoing compliance with the regulations following implementation into BAU
- Liaise with project managers and business owners to ensure that regulatory projects in progress are developed to deliver the regulatory change requirements and provide full regulatory compliance for Barclays UK
- Define and document the regulatory requirements and controls frameworks/dashboards to demonstrate Barclays UK’s ongoing compliance to the regulator, auditors and business
- Contribute to the development of business analysis, change management tools, techniques, standards and methodologies to improve their efficiency and effectiveness
41
Regulatory Risk Analyst Resume Examples & Samples
- 3+ years of work experience in financial or related data services organization
- Experience in a Business Analysis role is strongly preferred
- An understanding of financial products and the latest regulatory developments preferred
- Undergraduate degree in quantitative field such as Finance, Economics, Math, Physics, Computer Science
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Regulatory Risk Analyst Resume Examples & Samples
- Strong relationship management skills, with ability to establish and maintain productive working relationships across the Cards business, with key functional areas like Audit, Compliance, Control, and Independent Risk, and with external Regulators
- Functional knowledge of the Cards or consumer banking business and applicable rules, regulations, and processes
- Self-starter with ability to work independently throughout multiple levels in organization
- Strong communication, business writing, editing, reporting, presentation, and influencing skills
43
Regulatory Risk Analyst Resume Examples & Samples
- The role will focus on Basel III analysis for different legal vehicles within Citigroup, especially, but not limited to Citigroup Inc. legal entity and Citibank N.A. (CBNA)
- Analyse transaction structures and market data to identify root cause of calculation issues and propose possible options for resolution. Through sound project management follow through issues from initiation to successful completion
- Analysis of Basel III / CRD IV data attributes and the related impact on EAD/RWA and CVA RWA calculations
44
Regulatory Risk Analyst Resume Examples & Samples
- Works under direct supervision and from detailed verbal and/or written instructions. Some duties and tasks are simple and repetitive. Has the ability to handle issues that are basic and routine; refers more complex questions and problems to senior staff
- Performs compliance/monitoring reviews to ensure compliance with applicable laws, regulations and bank policies and documents findings. Prepares formal reports, as applicable, while meeting deadlines assigned
- Utilizes multiple compliance resources (seminars, computer-based training, conferences, manuals) to maintain the highest level of understanding of changes in the regulatory environment
- Familiar with federal and state banking laws and regulations
- Familiar with banking operations in general
45
AVP, Regulatory Risk Analyst Resume Examples & Samples
- Business analysis – determining, verifying and documenting business requirements
- Data analysis – analyzing, validating and documenting system feeds and calculated results
- Understanding of Credit, Market and Operational Risk Management concepts
- Familiarity with stress testing methodologies such as CCAR is a plus
- Able to quickly grasp and master new subject matter and related concepts
- Willingness to ask questions and challenge existing processes for operational efficiencies
46
Privacy & Regulatory Risk Analyst Resume Examples & Samples
- Coordinates and conducts privacy and regulatory compliance risk assessments of various business units, and control effectiveness testing, in accordance with regulatory compliance risk management standards
- Assists the business by providing regulatory advice
- Proactively diarizes and completes regulatory filings
- Assists in the development, tracking and reporting of department risk and performance metrics
- Maintains, and improves upon, CWB Financial Group’s contract administration processes
- Supports the conduct and administration of the department’s overall regulatory compliance risk management program
- Acts as a consumer advocate to investigate and resolve consumer complaints, by providing knowledgeable and practical direction and support in a timely and client service focused manner
- Assists the business and affected individuals in the mitigation and remediation of privacy incidents
- Acts independently, researches and arrives at conclusions and/or recommendations based on the exercise of good judgment
- Finds and implements process efficiencies by challenging the status quo
- Inspires trust by being open, honest and direct in communication, meeting commitments and behaving ethically in all dealings
- Treats all stakeholders with professionalism, dignity and respect and supports a team environment where people can contribute and excel
- Demonstrates strong interpersonal skills that contribute to working effectively in a diverse working environment
- Accepts responsibility and accountability for actions and results
- Prepares and regularly review annual goals and career development plan with manager/supervisor
- Completes other duties and projects as may be assigned from time to time including, but not limited to, acting as back-up to colleagues
- This role has no direct reports
- The role works within defined policies and procedures and will be expected to contribute to the refinement and continuous improvement of such policies and procedures
- The role works in a varied environment including both scheduled deadlines and changing priorities
- There is a requirement to work towards various short-term deadlines while at the same time making progress on longer-term goals
- The individual works within a small team with its attendant benefits (supervision and direction) and challenges (changing priorities and requirement to work outside job description from time to time)
- The role does not involve budgetary responsibilities
- 3-5 years of financial industry or compliance experience
47
Regulatory Risk Analyst Resume Examples & Samples
- Support the Regulatory Manager in leading the development of domestic and international professional standards, supervising the overall schedule to ensure work is assigned across the Compliance Department and completed to the highest standard, on time and within budget
- Develop appropriate domestic and international professional standards in response to new rules, guidance, regulatory standards and AJG Group policy, in order to comply with generally accepted principles of compliance and supporting the strategic and operating requirements of the AJG Group. Ensure appropriate socialisation and feedback loops with internal stakeholders for new professional standards and material changes to existing ones. Embed policies as required by business changes/growth and due to change in regulation
- Work within reporting requirements and guidelines of the FCA and other regulators to prepare the non-financial elements of the RMAR and other regulatory returns. Identify and resolve problems in a timely fashion, referring more complex problems to the Regulatory Manager
- Monitor regulatory developments through so-called “horizon gazing” and assist the Regulatory Manager in analysing the impact to the business of any new or proposed regulatory change. Report findings as appropriate to the wider Compliance Department and the Chief Risk Officer
- Support the Regulatory Manager in the preparation and coordination of all AJG Group regulatory inspections including the FCA risk assessment
- Prepare and/or coordinate the completion of new license application and regulatory approvals, including change in control applications, approved persons, Appointed Representatives and associated withdrawals as well as maintaining existing licences and approvals accurately and to agreed deadline
- Assist the Regulatory Manager, Managing Directors of Compliance and the Chief Risk Officer in developing and maintaining productive relationships with internal stakeholders and forging productive and credible working relationships with regulators
- Carry out duties following internal policies and procedures in accordance with applicable laws, rules, regulations, good governance and Gallagher’s shared values, in particular, putting clients at the heart of our business
- A’ Level or equivalent
- Technical knowledge and experience of the UK regulatory framework as it applies to insurance brokers, with a particular focus on regulatory transactions and reporting
- Familiarity with the rules and guidance in relevant FCA sourcebooks: (ICOBS, CASS, SUP, CONC, MIPRU)
- Ability to think clearly and rigorously, to draw reasoned and logical inferences from proposed regulation or legislation and use judgement to reach robust and practical conclusions
- Being able get up to speed on new subjects quickly, and deliver high quality written material within tight deadlines
- IT Skills
- Essential:MS Word, MS Excel and FCA Applications such as GABRIEL and Connect
- Preferred:MS PowerPoint
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Regulatory Risk Analyst AVP Resume Examples & Samples
- Tracking and reporting for various work efforts within the RWA GPO
- Excel data analysis and metrics
- Maintain project artifacts and documentary evidence (e.g., meeting minutes) to support internal audit processes
- Facilitate the collection of data and status updates to produce project reports. Also, leverage automation and tools as applicable
- Take detailed meeting minutes and action items for Steering Committee meetings, regulatory meetings, working group meetings, etc. and track the follow-up actions
- Develop expertise in a variety of Risk functions and businesses
- SharePoint administration
- Bachelor’s degree in Finance, Economics or related field
- 3+ years relevant work experience
- 1+ years experience in project management preferred
- Excellent proficiency in Microsoft Office – particularly Excel (metrics and data analysis), PowerPoint (create presentation decks), and Word (writing and editing procedural and technical documentation)
- Ability to organize and structure projects, processes, and communications
- Excellent communication skills: both written and verbal
- Self-starter/Independent thinker – ability to work independently, progress work, and bring it to the collaborative table
- Familiarity with financial services regulatory environment a plus
49
Regulatory Risk Analyst Resume Examples & Samples
- Assist in the development and maintenance of the regulatory closing process
- Work with RWA work stream leads and other internal groups to ensure the effectiveness of the RWA reporting
- Review and understand the regulatory reporting requirements (FFIEC, Y9C, 14A/Q) and be able to articulate them to work stream partners
- Understanding the models and results they generate
- Work with work stream leads to make adjustments to results where needed
- Facilitate reviews with senior managers and stakeholders by creating presentations that demonstrate that cleanly and succinctly explain the RWA results
- Assist in the preparation and coordinate of all Business engagement presentations across all exposures (Counterparty Credit Risk, Wholesale, Equities, Securitization, etc.)
- Identify areas of opportunity to improve current processes
- BA in Business, finance or economics or related field. MBA is a plus
- 3+ years of financial services experience, preferably working in risk management, Basel or regulatory reporting fields
- Good understanding of Basel and CCAR requirements and processes –abreast with the latest reporting guidelines, understanding the data, oversee the submissions, synthesize the submissions, coordinating with other work streams
- Good understanding of regulatory requirements. Preferably relating to FRB-mandated CCAR reporting forms (FR Y-14Q, FR Y-14M, FR Y-14A), FR Y-9C, FFIEC-031, FFIEC-101
- Experience in Risk or Regulatory Reporting is preferred: Basel, CCAR, DFAST, Market Risk, Credit Risk are all highly desirable areas of expertise
- Solid Microsoft Excel skills and the ability to quickly develop advanced knowledge of MS Excel and Access (or other database front end query applications) and the ability to work with large amounts of data
50
Regulatory Risk Analyst Resume Examples & Samples
- Daily variance monitoring of PSE (OTC/SFT) at product and facility level
- Analysis of unreasonable movements, liaising with third party teams where necessary to resolve issues
- Communicating issues identified to impacted parties
- Analysis and communication of changes in the weekly TOP50 report
- Produce monthly PSE (OTC/SFT) pack
- Monitor daily and month end output from the PSE server to determine changes to pass/fail rate
- Provide training and guidence to other team members
- Supports manager with UAT testing and is familiar with possible issues that would prevent approval
- Become proficient in querying Credit Systems for analitycal investigations
- A comprehensive knowledge of the risks associated with trading book products including OTC Derivatives and Securities Finance Transactions
- An in-depth understanding of the calculation of PSE for trading book products
- A proven track record of successful project management of multiple priorities and dealing effectively with demanding business partners
- Degree or post-graduate Qualification: Masters/Finance/Accountancy/IT/Other
51
Wholesale Credit Risk Rwa-regulatory Risk Analyst Resume Examples & Samples
- Calculating Risk Weighted Assets for Wholesale exposures using Basel III Advanced and Standardized approaches
- Develop and perform analysis of various reporting elements to explain the story behind the reported numbers
- Partnering with RWA work streams to document results and articulate RWA impact on regulatory reports. Document the results in a business-friendly language in a crisp and concise manner
- Performing quantitative analysis, due diligence and assess relevancy of the key risk weight parameters such as Delinquency, Tranche parameters forecasted by the Model development teams
- Define and perform attribution analysis of various risk parameters used for RWA forecasting
- Provide business inputs for the aspects related to implementation of Risk Weighted Assets forecasting, attribution analysis and regulatory reporting
- Prepare high quality presentations of RWA projections key stakeholders like such as Business, Finance and Independent Risk Management
- Creation of Senior Management-ready materials, including CCAR presentations to Lines of Businesses, Independent Risk Management, Finance and Regulators
- Develop a strong working relationship with the Businesses, Finance, Technology, Audit, Independent risk and model developments across the organization
- Assist in the preparation and coordination of all Business engagement presentations
- Trouble-shoot issues that arise during the Month End processing and recommend solutions
- Document and maintain procedures, create FAQ and training material suitable for audience of varying levels by simplifying complex content
- Package related concepts and insights and present to stakeholders including internal and external auditors in persuasive, articulate and compelling ways
- Perform complex research as needed
- Participate in Business Requirements Documentation processes requiring the incumbent to review Regulatory standards and changes, Citi Controls and Reporting Requirements as needed, liaise with Technology to translate those compliance requirements into functional requirements
- Lead and participate on global scale projects, interacting with senior management across all Lines of Business
- Bachelor’s degree in Finance, economics or related field
- 1+ years Financial services experience within Risk strongly preferred
- Experience in regulatory reporting, CCAR, DFAST, Market Risk, Credit Risk is preferred
- Comprehension of CCAR requirements and processes – abreast with the latest CCAR guidelines, understanding the data, oversee the submissions, synthesize the submissions, coordinating with other work streams
- Understanding of US Basel III regulatory guidelines and hands on experience with RWA calculations with specific reference to Securitization
- Knowledge of SSFA, SFA processes and calculations for different types of securitization exposures with asset classes like RMBS, ABS, CMBS, CLO and CDO
- Possess high level of quantitative analysis and data interpretation skills
52
Regulatory Risk Analyst Resume Examples & Samples
- The role will focus on Basel III analysis for different legal vehicles within Citigroup, especially, but not limited to Citigroup Inc. legal entity, Citibank N.A. (CBNA), Citigroup Global Markets Ltd (CGML)
- Analyze transaction structures and market data to identify root cause of calculation issues and propose possible options for resolution. Through sound project management follow through issues from initiation to successful completion
- Work closely with other groups in RWA GPO as well as other stakeholders (Regulatory Reporting, Risk Analytics, Technology and Risk Managers) to ensure the exposures are properly understood, controlled and communicated
- Knowledge of the risks associated with trading book products
- MS Excel/Access (ideally also VBA and SQL but not essential)
- Excellent stakeholder management skills. Ability to interact with remote business and technology partners as well as managing multiple priorities if needed
- Organizational and project management skills
53
Regulatory Risk Analyst Resume Examples & Samples
- Collecting, defining and documenting preliminary requirements
- Producing Test Plans and Test scripts by working with business
- Assist with scheduling and planning of User Acceptance Test
- Write Actions and Minutes when required
- Produce Project Plans
- Prepare Status and Senior Management updates
- Performing all responsibilities and actions in accord with System and Program Governance
- Extensive experience in Financial Services, within or outside of Citi but strong preference for candidates with Finance, Risk and Technology Banking experience
- Real-world experience across the project lifecycle, including; SDLC, analysis, design, development, testing and implementation
- Prior experience of the products involved in Citi's Balance Sheet - Cash products, Equities, Fixed income, derivatives and related and Risk and Finance Reporting
54
Regulatory Risk Analyst Resume Examples & Samples
- Support the EMEA risk reporting manager in London by producing / taking ownership of a variety of risk reports
- Explain the changes in VaR and other market risk metrics in collaboration with Market Risk Analytics and Market Risk Management
- Support reporting automation
- Develop, leverage, and maintain relationships across varying levels of management and function to ensure a high degree of accuracy in Citigroup’s VaR
- Assist with adhoc requests and projects
- BS or BA and between 1 - 3 years work experience in Market Risk, finance, or an associated discipline
- Good Microsoft Access, Excel and VBA skills. Good IT flair and able to quickly get familiar with a variety of market risk systems
- Good data management skills
- Good understanding of market risk exposures and VaR
- Excellent analytical, problem solving, and troubleshooting skills (a must)
- Ability to work under a fast paced environment
- Quick learner with excellent communication skills
55
Regulatory Risk Analyst Resume Examples & Samples
- Understand the Basel Data Process from end to end
- Coordinate targeted conference calls with various lines of businesses and management. Identify Key stakeholders, develop detailed meeting minutes, and setup follow up calls as appropriate
- Be part of various program management calls and execute action items as delegated
- Provide support to the Basel Program Manager and Director as directed and assist with multiple high priority items
- Create/Manage/Update project plans with the ability to identify inherit risks and properly escalate or determine the right parties to mitigate
- Facilitate reviews with Program Managers, Senior Leaders and Key stakeholders by creating presentations and supporting documentation
- Perform Root Cause trend analysis on historical data, including Basel Portfolio and Pool level utilizing Excel, data programming or other advanced data manipulation techniques to identify anomalies
- Coordinate work efforts between FRI, FRSS, Technology and in-business Risk teams related to the timely delivery of the Basel Re-engineering MRA program
- Work with Senior leads to identify solutions and drive resolution of open items
- 3+ years’ experience in project management practices or related responsibilities (operational change management, reengineering) in a financial services institution is required
- Experience working on large scale projects with exposure to global team members and management a plus
- Extensive Knowledge of Retail Basel Process a plus
- Knowledge of key Citi systems (RRTS, CitiRisk, GCBC, BAL, Pearl) a plus
- SAS, SQL, R programming experience a plus
- Advanced Microsoft Excel, Power Point, Project, Word required
- Detail oriented, highly organized with the ability to multi-task and work independently required
- Strong interpersonal/communication skills (oral and written) and confidence to work with multiple levels of management required
- Analytical problem solving ability; an ability to ask insightful questions, break analytical challenges into workable components and draw meaningful conclusions
56
Regulatory Risk Analyst Resume Examples & Samples
- Three-four years of related experience in mortgage lending related activities
- Demonstrated knowledge of major mortgage compliance regulations
- Working knowledge of FannieMae, FreddieMac, FHA and VA guidelines
- General Office experience
- A current understanding of federal and state laws as applicable to QC
- Multi-tasked, detailed, and organized orientation
- High-level math aptitude
- Professional and articulate verbal and written communication skills
- Exceptional and fluent customer service skills
- Proficient in using Loan Origination Systems, preferably Encompass, and Automated Underwriting Systems
- Proficient in using Microsoft Word, Excel, and Outlook
57
Assistant VP, Regulatory Risk Analyst Resume Examples & Samples
- At least 7 years of experience in business analysis preferably in the banking domain
- Knowledge of Risk Management and Basel is preferred
- Should have worked on regulatory requests OR strategic programs in the past
- Working knowledge of LATAM credit and front office system (e.g. C900, RV, EBO/EBOX etc.) and good understanding of specific processes for credit monitoring in Citi LATAM countries
- Strong ability to partner with Business & Technology stakeholders to ensure successful delivery of project objectives
- Great communications capability (oral and written)
- Good knowledge of Microsoft office tools, data base concepts and reporting tools for data analysis
- Capability to take-on new initiatives
- Takes ownership of the work assigned and works towards the project objectives
- Manages tight deadlines or unexpected requirement change
- Should be a team player and if required can lead initiatives
- Capability to manage stakeholder expectations
