Regulatory Support Resume Samples

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V Schmidt

Velva

Schmidt

444 Heaney Key

Boston

+1 (555) 886 4223

444 Heaney Key

Boston

Phone

p +1 (555) 886 4223

Experience Experience

Houston, TX

Regulatory Control Support

Houston, TX

Lind and Sons

Houston, TX

Regulatory Control Support

Work with the Technology teams for improvements in the system/ enhancement of procedures
Assisting the team in decision making and act as the backup for the Team Manager
Handle the team of Analysts and Senior Analysts, Team management and People Development
Preparing MI and Tracking KPI’s and Status updates for senior management
Liaise with Country Compliance Officers, Regional Supervisory and other Operational teams to manage the OBI approvals
Manage the OBI process employee inquires and any process escalations from the regional leads
Perform Reconciliation for DB employees which will be in English and German language

Los Angeles, CA

Regulatory Application Production & Support Analyst

Los Angeles, CA

Hickle LLC

Los Angeles, CA

Regulatory Application Production & Support Analyst

Provide status updates, proper escalations & reporting to management & Business
Management of documentation and post release checkouts UAT and Production releases
Write technical specification and document functional flows
Communication and coordination with Business analysts and other technology teams
Identify and assist in resolution of risks and issues that will adversely affect planned project milestones
Demonstrated expertise performing object-oriented and data structure analysis and design and developing multi-threaded applications and concurrent application programming
Know-how of client-server and MVC architecture

present

Los Angeles, CA

Regulatory Production Support Associate

Los Angeles, CA

Legros, Gaylord and Cremin

present

Los Angeles, CA

Regulatory Production Support Associate

present

Familiarity with Information Technology Infrastructure Library (ITIL) service management frameworks
Managing production outages and changes and providing tactical solutions
Provide daily application support services to the Global Regulatory business units
Providing daily application support services to the Global Regulatory business units
Liaising with Development and Production services teams in other regions
Managing production outages and changes and provide tactical solutions
Liaising with development and production services teams in other regions

Education Education

Bachelor’s Degree in Environmental Science

Virginia Commonwealth University

Bachelor’s Degree in Environmental Science

Skills Skills

Strong Knowledge of Databases (Sybase/SQL Server)
Strong analytical skills & attention to detail
Able to manage a team and work effectively
Knowledge of Databases (Sybase/SQL Server)
Able to present logical and well thought out positions
Knowledge/experience of problem management tools
Able to communicate clearly and effectively and listen carefully to others
Analytical skills & attention to detail
Good all-round Its skills
Experience with UNIX / Linux / Windows Operating Systems

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11 Regulatory Support resume templates

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Regulatory Program Support RTB Analyst Resume Examples & Samples

Experience working in a global environment
Experience with methodologies in business process and organizational redesign experience
Facilitation, negotiation and influencing skills. Proficiency in negotiating priorities and resolving conflicts among project stakeholders. Able to influence others and function effectively in a collaborative work environment. Works successfully with multidisciplinary teams
Six Sigma Certification (Desired)

Regulatory Program Support Run The Bank Analyst Resume Examples & Samples

Strong working knowledge of reference data concepts and client onboarding regulations such as AML/KYC
Demonstrated experience successfully implementing change in organizations for enterprise-wide and/or cross-functional large scale initiatives
Excellent analytical and problem solving capabilities. Includes problem structuring, analysis and ability to translate information into actionable implications and recommendations
Excellent written and verbal capabilities. Communicates effectively with business, technology, and senior audiences
Intermediate to advanced Microsoft Office Applications (MS Excel, MS Access, MS Project, MS Word, MS Powerpoint, Outlook)
Bachelors degree or advanced

Regulatory Remediation Program Support Resume Examples & Samples

Planning and monitoring the delivery of the reporting requirements to the various regulators and production of the formal regulatory submissions
Support the interpretation of the regulatory orders and map the change-the-bank and run-the-bank remediation activities to the order points
Communicating with internal stakeholders, including liaison with the GSORI 16 program management team and relevant work stream leads
Developing internal and external governance reporting packs
Coordinating internal workshops and managing the completion of actions stemming from various internal governance fora
Excellent report writing skills
Well organized and detail oriented with excellent written communication skills and competence in portraying complex information in a clear, concise, and compelling manner
Previous experience in operational risk, audit or on a regulatory change program is essential
Previous experience of project and program management, including planning, would be desirable
Knowledge of the firm's operational risk processes would be desirable

CTI Analytics Regulatory Support Analyst Resume Examples & Samples

Execute daily quality assurance control routines (KRIs) for CTI’s Quantitative Metrics
Execute daily control routines for CTI’s non-Trading activity requirements
Investigate, identify and help resolve any underlying issue or event trigger
Compile, produce and publish monthly Portfolio Aging Reports
Compile, produce and publish monthly Hedge Effectiveness Reports
Work with, and provide support to, CTI Analytics - Regulatory Lead
Provide periodic updates to senior management and front-office personnel
4-5+ years of relevant Finance, Operations or Middle-Office experience
Strong data analysis capabilities and demonstrable expertise in MS Excel Macro
Good understanding of end-to-end trade management, and derivatives risk/valuation
Ability to manage multiple tasks under strict timelines and deliver quality results
Strong verbal and written communication skills with ability to visualize and communication complex processes in clear and concise manner
Exposure to regulatory change initiatives preferred

Regulatory Businesss Support Analyst Resume Examples & Samples

Responsible for the implementation of regulatory compliance mandates covering the Nomura European entities and provide EMEA assistance for the global programmes where appropriate
Identify the client scope and assist to deliver the programme of work with a clear plan, cross divisional support and within the regulatory timeframe
Work with internal partners including Legal, Compliance, Global Markets Sales, Operations, EDM and RDM to ensure Nomura�s compliance to the rules
Provide oversight and progress to the senior management team and stakeholders, regionally and globally
Understand the regulatory environment and ensure clients are compliant to these rules
Communication with clients to ensure they have complied with the rules and resolve any questions or queries they may have
Monitoring relevant email inboxes and updating the appropriate static data flags
Attention to detail as well as the ability to solve problems quickly and efficiently is essential
A team player, possessing ability to build relationships and partnerships
Understand risk and control framework and be able to escalate effectively

Regulatory Support Resume Examples & Samples

Facilitate the Regulatory self-assessments for the department in line with the banks self-assessment framework. This entails working with the broader CRO regulatory coordination teams who are based in Americas, EMEA and APAC and the management team to complete the assessments followed by a independent review of the results
Perform a high level assessment of which rules are applicable to the function and assign and agree senior ownership and execution plans
Establish and embed standards and processes including reporting to ensure appropriate and efficient execution of assessments
Graduate Degree
Expertise in one of the following
Work experience as a manager or team lead in a Financial Institution either in Risk, Operations, Product Control, Financial Accounting or other shared services functions. Relevant experience in projects or transformation initiative focused on stakeholder management and facilitation across various departments
Experience and understanding of the Regulatory and compliance related matters
Risk and/or regulatory experience
Solid people leadership experience
Solid presentation skills
Stakeholder management focused individual
Confident in providing professional challenge

Regulatory Production Support Associate Resume Examples & Samples

Providing daily application support services to the Global Regulatory business units
Liaising with Development and Production services teams in other regions
Participating and initiating global initiatives
Managing production outages and changes and provide tactical solutions
Significant previous experience within a support/Information Technology (IT) environment
The ability to very quickly obtain a strong knowledge of the regulatory requirements, such as the Volker Rule, Dodd Frank, etc
Experience with UNIX/Linux/ Windows Operating Systems
Strong Knowledge of Databases (Sybase/SQL Server)
Familiarity with Information Technology Infrastructure Library (ITIL) service management frameworks
An understanding of problem management methodologies
Knowledge/experience of problem management tools
Experience using call/ticketing software
Experience of 1st & 2nd Line support of front office/back office applications, from a face to face perspective
Good all-round Its skills
Experience of tech problem solving in a pressurised trading environment
Strong analytical skills & attention to detail
Able to communicate clearly and effectively and listen carefully to others
Presenting a position that’s logical and well thought out
Able to manage a team and work effectively

Regulatory Production Support Associate Resume Examples & Samples

Provide daily application support services to the Global Regulatory business units
Active participation and initiation of global initiatives
You will be able to manage production outages and changes and provide tactical solutions
Disaster recovery planning and testing
Geneos monitoring to proactively maintain stability
Previous experience within a Support/IT environment
Experience with UNIX / Linux / Windows Operating Systems
Knowledge of Databases (Sybase/SQL Server)
Familiarity with ITIL service management frameworks
Understanding of problem management methodologies
Experience of 1st & 2nd Line support of front / back office applications from a face to face perspective
Experience of tech problem solving in a pressurized trading environment
Analytical skills & attention to detail
Communicates clearly and effectively
Presents a position that’s logical and well thought out

Regulatory Production Support Team Lead Resume Examples & Samples

Provide daily application support services to the Global Regulatory business units
Active participation and initiation of global initiatives
You will be able to effectively manage production outages and changes and provide tactical solutions
The candidate should be able to deliver effective Technology Infrastructure Solution working with technology development and Infrastructure Teams
Significant experience within a support/IT function
Experience with UNIX / Linux / Windows Operating Systems
Strong Knowledge of Databases (Sybase/SQL Server)
Familiarity with ITIL service management frameworks
Understanding of problem management methodologies
Knowledge/experience of problem management tools
Experience using call/ticketing software
Experience of 1st & 2nd Line support of front office / back office applications from a face to face perspective
Good all-round PC skills. (I.e. Windows OS / Networks / General Hardware)
Experience of tech problem solving in a pressurized trading environment
Strong analytical skills & attention to detail
Communicates clearly and effectively and listens carefully to others
Presents a position that’s logical and well thought out
Able to manage team and work effectively

Regulatory Production Support, AVP Resume Examples & Samples

Provide daily application support services to the Global Regulatory business units
Active participation and initiation of global initiatives
Candidate should be able to effectively manage production outages and changes and provide tactical solutions
The candidate should be able to deliver and work with technology development and Infrastructure teams
Significant previous experience within a Support/IT environment
Experience with UNIX / Linux / Windows Operating Systems
Strong Knowledge of Databases (Sybase/SQL Server)
Familiarity with ITIL service management frameworks
Understanding of problem management methodologies
Knowledge/experience of problem management tools
Experience using call/ticketing software
Experience of 1st & 2nd Line support of front office / back office applications from a face to face perspective
Good all-round PC skills. (I.e. Windows OS / Networks / General Hardware)
Experience of tech problem solving in a pressurized trading environment
Strong analytical skills & attention to detail
Communicates clearly and effectively and listens carefully to others
Presents a position that’s logical and well thought out
Able to manage a team and work effectively

Regulatory Production Support Associate Resume Examples & Samples

Liaising with development and production services teams in other regions
Actively participating in and initiating global initiatives
Managing production outages and changes and providing tactical solutions
Previous experience within a support/information technology environment
Able to very quickly obtain a strong knowledge of the regulatory requirements such as Volker Rule, Dodd Frank,etc
A familiarity with Information Technology Infrastructure Library (ITIL) service management frameworks
Experience of 1st & 2nd line support of front/back office applications from a face to face perspective
Experience of technology based, problem solving in a pressurised trading environment
Able to present logical and well thought out positions

Regulatory Application Production & Support Analyst Resume Examples & Samples

Understanding of technical and Business processes of various different Front Office applications and the trade life-cycle
Monitoring and understanding of regulatory data processing infrastructure
Understanding multiple GUI design features to assist the clients help with multiple workflows with in regulatory infrastructure
Provide status updates, proper escalations & reporting to management & Business
Management of documentation and post release checkouts UAT and Production releases
Write technical specification and document functional flows
Communication and coordination with Business analysts and other technology teams
Identify and assist in resolution of risks and issues that will adversely affect planned project milestones
Bachelor’s degree or foreign education equivalent in Computer Science or Engineering with more than 7 to 8 years of experience supporting a platform built in Java/JEE software engineering within a financial services environment
Demonstrated expertise performing object-oriented and data structure analysis and design and developing multi-threaded applications and concurrent application programming
Ability to understand applications using JAVA, XML and running in multi-threaded environment using various data structures
Know-how of client-server and MVC architecture
Demonstrated expertise writing and running database queries on large data-sets
Worked on platforms supporting web applications using Web Services or TOMCAT
Know-how of the FIX protocol and troubleshooting on UNIX/LINUX systems
Ability to script in perl/python/shell and automate tasks
Ability to talk to Compliance Users and Business users and provide status updates/reports

Head of Regulatory Law & GBU Support Resume Examples & Samples

Strategic Regulatory Support –Responsible for providing legal advice, counsel and services that ensure the organization is operating in compliance with regulations and that regulatory reporting requirements are met including responding to questions from the business and regulatory agencies
A minimum of 15 years of post-J.D. experience, ideally including training in a law firm, combined with corporate experience (although corporate experience is preferred, but not required); agency (FDA) experience highly desired, though not required if other credentials are present
Experience working in private practice and in-house; experience in managing a team of greater than 10 employees; experience with counseling senior business leaders; and a good understanding of the business and legal challenges and opportunities of the pharmaceutical industry
Prior experience as a member of an in-house legal department at a biotechnology or pharmaceuticals company strongly preferred
Knowledge of FDA drug and medical device requirements and submission process
Knowledge of FDA promotional, advertising and labeling requirements for drugs
Understands the interplay between business and regulatory agencies
Broad based legal training, including exposure to securities, corporate governance, M&A, joint ventures, and other transactions and contracts, in addition to sophisticated regulatory and compliance issues
Experience with ‘C-level’ executives, and advising executives, partnering with heads of businesses, and working with sophisticated leaders is strongly preferred
Proven competency in recruiting, leading, managing and mentoring a large internal professional staff
Strong strategic acumen
Know how to deliver challenging messages and where to draw the lines
A broad network of outside counsel and knowledge of ‘where to go’ to get the right legal help when needed
Demonstrated ability to (i) understand and digest complex scenarios in order to identify relevant issues and risks, (ii) propose solutions that take into consideration the relevant business objectives and (iii) communicate those issues, risks and solutions clearly and concisely to lawyers and non-lawyers alike
Working knowledge of US Federal and state healthcare compliance considerations, including without limitation
Ability to effectively and efficiently manage outside counsel, when used, and adhere to a budget

Legal & Regulatory Support Resume Examples & Samples

Prepare regulatory filings on behalf of Deutsche Investment Management Americas, for example: Quarterly filing of forms CTA-PR and CPO-PQR with the National Futures Association
Assist with Secretary duties for IROC and SAOC – Gather materials for meetings, responsible for reports and compiling into meeting package. Taking notes on meetings, writing minutes. Editing Terms of Reference as needed. Managing the scheduling of monthly and ad-hoc meetings. Managing storage of materials on SharePoint
Assist with drafting of Business Service Level Agreements (SLA), overall coordination of execution / approvals and repository oversight
Forward Service Level Agreement templates to business, review returned documentation, submit responses on FINRA website prior to processing deadline
Obtain quarterly manual rule attestations from portfolio managers
B24 Compliance Report Supervision
Maintain the DIMA client list – obtaining monthly attestations of completion
Assist with adhoc projects as needed

Business & Regulatory Support Specialist Resume Examples & Samples

Understanding proposed new financial regulations regarding their potential impact on CS entities
Delivering presentations and compilations
Administration of various internal compliance web-based tools / systems
Providing administrational support to employees on different level of seniority (e.g., Managing Directors, Directors etc.)
Publishing and maintenance of Investment Suitability intranet pages
Organization of trainings for operational readiness
Developing and maintaining positive relationships with stakeholders around the globe (Compliance Department, Front Office, IT)
Develop training materials suited to stakeholder needs and aligned with compliance
University Degree in Economics / Law - specialization in Finance or Banking is an asset
Good understanding of financial products and services
Understanding of banking industry and its regulatory environment
Attention to details and methodical approach
Desire to perform in a control function
Motivation to work in an international environment
Excellent Microsoft Office skills (especially Microsoft Excel)
Proven research and drafting skills as well as the ability to summarize legal / regulatory texts
Project Management experience in a regulatory environment is a plus

Risk Regulatory Support Analyst Resume Examples & Samples

Provide a support on identification, interpretation and communication of new regulations relevant to risk management
Coordinate self-assessment exercise to assess effective implementation of regulatory rules
Provide support to wider team on regulatory submissions including coordinating regulatory submissions and providing quality assurance on documents as well as administrative support
Collaborating with a wide range of senior stakeholders across Risk Management and other departments for regulatory purposes
Keeping up to date with the regulatory landscape and its implications for risk management
Identifying and proposing changes to enhance the current regulatory processes and controls
Proven financial sector experience, preferably in a risk management or modeling or regulatory coordination role
Confidence to take ideas forward and to challenge others, where appropriate
Ability to interpret and articulate regulatory rules and requirements
Experience in management by influence, facilitating and gaining consensus

Manager, CMC Regulatory Support Resume Examples & Samples

Planning, writing and delivering agreed submission deliverables for US, EU and rest of world (ROW) registrations for multiple dosage forms. Author and create dossier content from source documentation
Worked with multi-disciplined teams in the bio-pharmaceutical industry. Lead and manage regulatory CMC projects with internal and external partners
Experienced with change control systems, and authoring and reviewing FDA new and post-approval CMC changes requiring eCTD format for IND/AR/CBE/PAS/NDA/ANDA submissions
Excellent communication and technical writing skills. Negotiation skills a plus
In-depth knowledge of USP/Eu. Ph. and Code of Federal Regulations (CFR). Working knowledge of cGMP’s
Worked with writing template tools, Documentum based or similar systems #LI-SA

Regulatory Support to UK CIB CIO Resume Examples & Samples

Agreeing the agenda for each meeting including any special topics
Coordinating the population of scorecard metrics for the CIB Technology groups
Critically reviewing the resulting draft scorecards for completeness and appropriate commentary and follow up with the provider groups to address any queries
Collating and publishing the meeting materials, including any required for special topics
Chairing the monthly CUTOC meeting
Publishing the minutes and ensuring all actions are followed up on a timely basis
Working closely with CIB Technology teams to understand and diagnose root causes of issues and breaks highlighted through the scorecards, identify any thematic or systemic issues, and propose solutions to address
Owning and driving specific programs of work to implement solutions to address issues both in the short-term (tactically) and longer-term (strategically.) An example of this is the need to put in place the processes and tools required to be able to report all relevant metrics by Legal Entity, as opposed to by region or country
Strong project management experience across organisational and functional lines
Proven ability to influence behaviour across organisational and reporting boundaries
Ability to communicate effectively to senior management
Ability to condense broad, complex ideas and communicate these in a succinct and compelling way
Able to absorb, understand and apply significant quantities of new information rapidly
Strong organisational capabilities
Experience of running effective governance forums at a senior level
Knowledge/experience of the CIB Technology organisation
Knowledge/experience of the UK regulatory environment

Regulatory Support Unit Manager Resume Examples & Samples

Directing, supervising the concerns unit, reviewing investigation reports, gathering other investigative materials and drafting adverse actions for review by Administration, and tracking & coordinating appeals
Reviewing and recommending licensing actions pertaining to the Developmental Home Licensing Unit (approval, denial, suspension, and revocation)
Compiling statistical and administrative reports
Providing consultation and technical assistance to field staff, licensees and licensing agencies as required
Representing the Administration in license revocation and denial hearings
Comprehensive knowledge of management principles
Knowledge and understanding of Federal and State laws, regulations and policies pertaining to developmental home licensing
Communication skills: write and speak effectively
Computer skills (word processing and database)
The preferred/ideal candidate will have a Bachelor’s degree in a human services related field, and management and regulatory experience
Prior direct experience with developmental home or foster home licensing in Arizona
Quick Connect software experience preferred

GxP & Regulatory Compliance Support Coordinator Resume Examples & Samples

Review and archive maintenance and calibration record documentation in accordance with Novartis Quality Module QM4.7 and Information Governance Standard IGM.STD 013.v01.1
Create GxP maintenance and calibration documentation equipment files in accordance with SOPs 5002854 & 5003400
Review and update GxP equipment maintenance task instructions in accordance with GCA Audit 1548989 and SOP 7028148

Regulatory Control Support Resume Examples & Samples

As a senior member of AML, the process supervisor will be responsible to assist the manager in handling first level escalations, perform refresher and new hire training in the process, and escalate issues of non-adherence of procedures and policy to the manager
A key requirement for this role is good communication skills and excellent domain knowledge
Analyse transactional/Account activity within Alerts generated in Mantas/Norkom/Smaragd to check for presence of Money laundering activity and evidence of transactions with sanctioned entities/countries
Escalate, as mandated, unusual activity or transactions which do not meet the Bank’s AML policy
Interact with Deutsche Bank’s internal departments and ensure accurate and timely delivery of services in line with KPIs
Ensure that KPI delivery is strictly in line with the Bank’s procedures
Serve as Subject Matter Expert within the team
Ensure that all queries/first level escalations related to routine activities are responded to within the time frames pre-specified
Escalate all issues properly, in time, to the appropriate level and seek assistance to avoid any adverse impact on the business
Keep Team Manager informed of the exceptional occurrences, to enable appropriate action
Acclimatize oneself with the function specific MIS
Training new recruits - ensure they are fully knowledgeable about the process
Assisting the team in decision making and act as the backup for the Team Manager
Proactively participate in various process improvement initiatives that may be required from time to time
3+ years of experience in AML surveillance in areas like GTB, Money Market A/Cs or Private Wealth Management preferred
Hands on expertise on global monitoring systems like Mantas, Norkom and TA 2000
4 years experience in processes involving cheque clearing, pay-roll or retirement benefits processing, insurance claims and mortgage processing
Should have ability to process and analyse diverse transactional behaviour in a logical and structured manner
Should have spent a minimum of 1 year in role involving training and mentoring analysts in AML surveillance principles
Above average Knowledge of financial markets and investment vehicles
Strong interpersonal / communication skills
Willingness to work in shifts
Good spoken and written communication skills

Lead Analyst, Electric Regulatory Support Resume Examples & Samples

You will work with the ADA DevOps Team to perform statistical modeling related to electric load forecasts and ad hoc analyses. Document, distribute, and defend forecasts and analyses
You will help prepare data responses to regulatory requests for information for company rate cases and other proceedings. Provide expert testimony before regulators to support the regulatory goals and objectives of the company, and defend electric load forecasts
You will work with internal Company clients to provide these electric load forecasts and all supporting analysis to enable them to achieve their own financial and system reliability needs
You will meet with external regulatory and other policy makers to advocate our approaches and transform their thinking to the best practices and latest technologies in the market
You will help to understand and improve the end-to-end process that spans from the customer’s energy needs to the electric network infrastructure to meet those needs and then to the regulatory approval of the Company’s rate and capital requirements
You will need to demonstrate ability to employ Change Management techniques to champion our approaches both within the Company and externally with policy makers
You will have to stay current and act as a Company expert in all policies, regulatory requirements, market trends, and industry standards regarding customer energy use and technologies and programs impacting that use, such as energy efficiency, distributed generation and demand response
Bachelor’s degree required (Master’s preferred) in any Science, Technology, Engineering or Math (STEM) or quantitatively-rigorous field
5 or more years of relevant energy industry experience in a regulated setting with direct interaction with regulators required. Prior ‘expert witness’ experience preferred
Experience in the electric industry in New York and New England is preferred
5 or more years of statistical and/or econometric modeling and simulation experience, preferably dealing with large data sets
Demonstrated ability in MS Office suite, SQL database language, and the ability to program in R, Python or other programming language
Demonstrated ability to successfully translate business problems into frameworks for the development of computer models and tools by being able to see multiple relationships and identifying likely causes or consequences of a situation and then translating the quantitative results into actionable business information, knowledge and solutions
Demonstrated ability to successfully drive change within a business environment
Highly motivated and have the ability to work effectively both independently as well as part of a team
Excellent communication skills in order to coordinate their effort with other members of the team and to provide internal and external clients with concise, well supported recommendations on important projects
The ability to understand and be able to explain complicated technical concepts to non-technical personnel, internal and external to National Grid
Ability to interact with multiple levels of management, various departments within the company as well as external customers including regulators, market operators, and other market participants

Lead Analyst, Regulatory Support Resume Examples & Samples

You will work with the ADA DevOps Team to perform statistical modeling related to gas load forecasts and ad hoc analyses. Document, distribute, and defend forecasts and analyses
You will help prepare filings and responses to regulatory requests for information for rate cases and other proceedings as well as provide expert testimony before regulators to support and defend our forecasts and our regulatory goals and objectives
You will work with internal Company clients to provide forecasts and supporting analyses to enable them to achieve their own financial and system reliability needs
You will meet with external regulatory and other policy makers to advocate our approaches and transform their thinking to the best practices and latest technologies in the market
You will help to understand and improve the end-to-end processes that spans from the customer’s energy needs to the gas network infrastructure to meet those needs and then to the regulatory approval of the Company’s rate and capital requirements
You will need to demonstrate ability to employ Change Management techniques to champion our approaches both within the Company and externally with policy makers
You will have to stay current and act as a Company expert in all policies, regulatory requirements, market trends, and industry standards regarding customer energy use and technologies and programs impacting that use, such as energy efficiency and demand response
Bachelor’s degree required (Master’s preferred) in any Science, Technology, Engineering or Math (STEM) or quantitatively-rigorous field
5 or more years of relevant natural gas industry experience in a regulated setting with direct interaction with regulators required. Prior ‘expert witness’ experience preferred
Experience in the natural gas industry in New York and New England is preferred
5 or more years of statistical and/or econometric modeling and simulation experience, preferably dealing with large data sets
Demonstrated ability in MS Office suite, SQL database language, and program in R, Python or other programming language
Demonstrated ability to successfully translate business problems into frameworks for the development of computer models and tools by being able to see multiple relationships and identifying likely causes or consequences of a situation and then translating the quantitative results into actionable business information, knowledge and solutions
Demonstrated ability to successfully lead change within a business environment
Highly motivated and able to work effectively both independently as well as part of a team
Excellent communication skills in order to coordinate your effort with other members of our team and to provide internal and external clients with concise, well supported recommendations on important projects
The ability to explain complicated technical concepts to non-technical personnel, internal and external to National Grid
Ability to interact with multiple levels of management, various departments as well as external customers including regulators, market operators, and other market participants

Regulatory Control Support Resume Examples & Samples

Monitoring customer transactions behaviour as per AML Procedures
Interact with Deutsche Bank’s internal and external clients and ensure accurate and timely delivery of services in line with KPIs
Ensure that service delivery is strictly in line with the Bank’s procedures
Adhere to Quality and controls
MIS reporting
Supporting, attending and following-up of the respective Team meetings
Participate and cross train oneself across different platforms
1-4 years of relevant experience
Basic Knowledge of financial markets
Good spoken communication skills
Proficient in Microsoft Office applications( MS Excel, MS Word, MS Access)

Regulatory Control Support Resume Examples & Samples

In accordance with the “DB Group Employee Trading” policy, personal investment activities need to be conducted in accordance with applicable laws, rules and regulations and that any conflicts of interest related to personal investment activities are avoided or managed appropriately
Employees should maintain their personal account at DB where feasible or where applicable at a designated broker. Employees are required to register these accounts on the relevant employee trading system (ETRA)
As required by local or divisional policies or procedures defined around local regulatory or business requirements, employees may need to obtain pre-clearance to engage in personal account trading. Pre-clearance/Approval may include approval from Compliance and/or the employee’s supervisor. If granted, clearance is generally valid for a maximum of 24 hours
Process Employee Trading dealing requests from DB employees
Perform Reconciliation for DB employees which will be in English and German language
Perform other tasks like broker account review, notification etc
Conduct daily Employee Trading Surveillance on various models in Actimize tool
Perform research and investigations to identify the reason for potential violations
Document research results and escalate violations and/or suspicious trading activity according to firm policy and regulatory requirements
Liaise and communicate with regional onshore teams – APAC, EMEA and US
Respond to employee enquiries in relation to employee trading dealing matters through emails and phone calls
Manage multiple, deadline-oriented tasks in a fast-pace environment
Requiring detailed interpretation / understanding of information provided to formulate required judgement calls for low-risk transactions
Ensure that KPI delivery is strictly in line with the Bank’s policies & procedures
Background with a minimum of 1 - 2 years experience working in an Investment Bank will be an added advantage
Experience in Employee trading or compliance role will be an added advantage
Strong communicator, comfortable in presenting and explaining analysis
Must be detail oriented, interested in the markets, current events, and financial news
Team player with great attitude and work ethics
Willingness to work in shifts as per business requirement (UK/APAC and US) is a must
English language proficiency (oral and written) is required
Should be able to communicate with the employees both over phone calls and emails confidently

Operations Regulatory Control Cass Business Manager Support Resume Examples & Samples

Proven experience developing creative solutions to problems
Strong people management skills
The ideal candidate should have a minimum of 3 years banking experience

Regulatory Control Support Resume Examples & Samples

Hands on experience in various processes of Employee Trading Compliance - Personal Account Dealing, Outside Business Activities and Employee Annual Attestations
Outside Business Activities – To monitor DB employee’s Outside Business Activities and check for any conflicts of interest exists between employee’s role at company and his outside business activities and prepare the analysis using internal and external sources to protect company from any reputational, legal, regulatory or compliance risk
Personal Account Dealing – Approving, monitoring, analyzing and reviewing the trades executed by DB employees are as per the companies policies and procedures
Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures
Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
Preparing MI and Tracking KPI’s and Status updates for senior management
Handle the team of Analysts and Senior Analysts, Team management and People Development
Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions
Bachelor’s or Masters in Commerce and Finance
The candidate should have minimum 5 to 7 years prior experience in Investment Banking Operations. Having an exposure to compliance or performing compliance related roles is a plus
Must be detail oriented, Strong communicator, comfortable in presenting and explaining analysis to senior management
Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives)
Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines

Assistant VP-audit & Regulatory Response Coordination Support Resume Examples & Samples

Finance / Budgets, including vendor management & HR,
Methodologies, Polices & KPI’s,
Audit & Regulatory Response Coordination, and
Central PMO support
The Audit & Regulatory Response Coordination Support will work autonomously under the direction of CB IT Program Management Team Lead and will be required
Drive the timely submission and review of all recommendations, ensuring points for closure have been adhered to, with supporting evidence
Contributes to the completion of continuous monitoring activities for assigned auditable CB IT work streams and escalates matters that may impact the timing of the next audit assignments
Conduct periodically review with department heads and senior management related to upcoming audits and providing status on all outstanding audit items
Manage CB IT central audit storage repository
Maintain the audit calendar
Ensure that any audit points impact CB IT procedures are updated, communicated and stored in CDR
Where applicable ensure CB IT policies and procedures are updated based on recommendations, with appropriate communication and education forums to the CB IT Work streams
Interact with the Central Policy Office (CPO) and ensure that each document within IT Core banking complies with the requirements outlined within CUSO/IHC Policy on Policies and any additional guidance provided by the CPO

Regulatory Control Support Resume Examples & Samples

1 - 3 years of experience in AML surveillance in areas like GTB, Asset Management, CIB or Credit Fraud / Insurance Fraud Compliance
Commerce, Economics or Business management graduates with good academics & / or 1+ years of banking operations experience (prior KYC/AML experience would be desirable)
Strong written and verbal communication skills
Certification from RBI in AML & knowledge about US/UK/EU Regulatory framework will be an added advantage

Regulatory Control Support Resume Examples & Samples

Outside Business Activities – The candidate will work on DB employee’s Outside Business Activities for APAC and EMEA regions and check for any conflicts of interest exists between employee’s role at company and his outside business activities and prepare the analysis using internal and external sources to protect company from any reputational, legal, regulatory or compliance risk
Liaise with Country Compliance Officers, Regional Supervisory and other Operational teams to manage the OBI approvals
Manage the OBI process employee inquires and any process escalations from the regional leads
Work with the Technology teams for improvements in the system/ enhancement of procedures
Preparing and Tracking KPI’s and Reporting Senior management
Experience in KYC and Client On boarding
The candidate should have minimum 8 years of experience in Investment Banking Operations. Having an exposure to Compliance or performing Compliance related roles is a plus

Regulatory Shareholding Reporting Quality Assurance & Projects Support Officer Resume Examples & Samples

Performing user acceptance tests, including functional automation, performance testing and manual testing for system changes for the entire Regulatory Shareholding Reporting area
Reviewing implementation and efficiency of changes in the reporting system
Dashboard monitoring of systems used by the Regulatory Shareholding Reporting Teams
2-5 years of professional experience ideally in banking, finance or compliance
Degree in Economy, Finance, Mathematics is desirable
Excellent analytical skills with an ability to work with large amounts of data
Numerical agility
Very good Microsoft Office skills, especially Microsoft Excel
Deep understanding of the complexity of financial products and services
Fluent written and verbal communication skills in English

Regulatory Control Support Resume Examples & Samples

Should display an analytical bent of mind and ability to retain vast amount of data
Should have ability to process and analyse diverse transactional behaviour and display sound judgement in escalations
Good Knowledge of financial markets and investment vehicles
Exposure to equity trading processes, derivative processes is required
Team player with great attitude and work ethic and a strong attention to details
Ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
Graduate in any stream with 1-2 years of work experience. Investment Banking experience would be a plus
English language proficiency (oral and written) required
Strong proficiency in Excel, Word and PowerPoint required. Proficiency in Access a strong plus

CIB Regulatory Support & Control Analyst Resume Examples & Samples

Reference Data and other BAU queries
Previous investment banking experience required
Experience and strong product knowledge of Fixed Income and Commodity derivative products
Previous experience in a regulatory role preferred
Experience in managing initiatives/ projects
Client interaction in a previous role
Understanding of client reference data desirable
Regulatory reporting experience desirable
Excellent delivery record in previous roles, ability to manage changing priorities and high volume processes
Experience of OTC derivative processing/lifecycle, in one or multiple asset classes
Excellent communication and presentation skills, at all levels
Have a proactive, focussed approach, looking at continuous ways to improve the control and operational environment
Strong PC skills e.g. Excel, PowerPoint
Strong risk and controls awareness, attention to detail

Regulatory Program Support Team Regional Lead VP Resume Examples & Samples

Assist with day to day regulatory oversight of the LEG function on behalf of UK entities in EMEA region
Assist with day to day escalation between LEG processes and Operations, Compliance, Risk and business stakeholders
Support the development and ongoing maintenance of business requirements and regulatory rule sets for regulatory programs to be implemented into the LEG Control Framework
Involvement in the identification and management of process improvement projects
Proactively identify, analyze and articulate the impact of risk and develop/execute action plans; and
Review and respond appropriately to exception reports and management reports designed to help manage risk (regulatory risk, operational risk, etc.), workload, and performance of staff
Understanding of markets business and product types. We would expect that the likely individual may have developed the necessary competencies in a similar role over a 10+ year period
Understanding of KYC and AML processes and UK regulatory environment
Strong organizational skills. Ability to prioritize and manage multiple priorities and meeting deadlines
Ability to drive change and improve daily processes in the work place delivering both capacity and control
Able to assess problems and provide effective, innovate solutions with confidence
Facilitation, negotiation and influencing skills. Proficiency in negotiating priorities and resolving conflicts among stakeholders. Able to influence others and function effectively in a collaborative work environment. Works successfully with multidisciplinary teams
Intermediate to advanced Microsoft Office Applications (MS Excel, MS Access, MS Project, MS Word, MS PowerPoint, Outlook

Junior Environmental Regulatory Support Specialist Resume Examples & Samples

Involvement in activities that contribute to the management and delivery of environmental projects. Projects will vary in scale and will include Environmental Impact Assessments as well as other projects in support of the development, operation and closure of mining projects
Participation in a team environment, working closely with Project Managers, Project Directors and discipline teams
Work with and provide support to other members of the Mining Group in sharing project management, project completion and client service responsibilities
Completing environmental regulatory documents, such as applications, environmental assessment documents, and/or water licence documents
Client and team communication
Experience working in Excel with high attention to detail
Experience in literature based research and writing
Experience using Microsoft Word, Excel, MS Project and Powerpoint
Experience related to environmental regulations and/or project management an asset

Regulatory Database Administrative Support Resume Examples & Samples

Regulatory systems: Data entry, clarification, quality check and maintenance in/of regulatory systemsin the International region based on data transmittal forms (DTF) or other sources of information
Interface function: Correspondence and telephone calls in the context of clarifying data entries
Participation in project teams
Completion of reports on international team’s request
Completed basic training (Apprenticeship in Life Science or High school diploma)
Completed or Ongoing training in paramedical and/or biological/technical sciences is an advantage
Experience working with databases is an advantage
Attention to detail, as well as strong organizational and follow-up skills
Flexibility to work in a global regulatory cross cultural work environment and can work independently as well as in a team
Microsoft Office Skills
Fluent in English, German a plus

Senior Regulatory Support Consultant Resume Examples & Samples

Independently research and analyze regulatory guidance from the IRS, DOL, SEC and other applicable agencies, along with new pension legislation
Review and prepare plan analysis for clients, both new and existing, including issue spotting, consulting on issue resolution, best practices and preparation of client communications, plan forms and participant communications
Provide regulatory consulting services to the Regional Offices (Client Executive and Sales staff), the helpdesks, operational areas and Transamerica management team, including drafting regulatory in-house communications and assisting on projects and internal meetings. This includes support for Plan Services, plan consultants, Compliance Testing, Reporting/Disclosure Unit, Retirement Consulting Group and Client Integration Team, for both existing and new business
Provide plan design support and assistance related to Transamerica’s prototype, volume submitter and individually designed plan documents both internally and externally
Provide a consulting and coordination role in preparing IRS EPCRS voluntary compliance submissions for clients and their counsel, and interact with the IRS as necessary
Provide assistance to the Regulatory Support group, as appropriate and participate in formulation of department strategy
Assist in new product development
Assist in the development and delivery of regulatory training programs for Transamerica employees
Maintain a high level of awareness of ongoing developments in the pension industry
Assist in special regulatory projects/task forces
Provide regulatory risk management both internally and externally
Other duties as assigned based on divisional needs
Bachelor’s degree or equivalent experience in the retirement industry
Advanced knowledge of the legal requirements for qualified plans, section 403(b) plans, Section 457 plans, multiple employer plans, corporate nonqualified plans, IRA and Section 72 annuities and ERISA
6+ years of retirement industry experience in legal, compliance or similar setting
Ability to independently research, analyze and interpret IRS and DOL regulations and pension legislation
A J.D. degree or retirement plan certification, such as ASPPA professional designation of CPC or ERPA or CEBS professional degree, preferred
Ability to communicate complex, technical legal rules and requirements in layman’s language

Regulatory Support Manager Resume Examples & Samples

Build and maintain knowledge and understanding of customers’ regulatory requirements
Participate in project teams as regulatory support expert
Lead cross-functional activities when required
Respond efficiently and promptly to customers’ regulatory based issues, which will include
Bachelor of Science degree in Chemistry, Pharmacy or other related field
Three or more years of experience in the (bio)pharmaceutical industry or a related field
Understanding of GMP and knowledge of regulatory requirements in the (bio)pharmaceutical
Five or more years’ experience with biopharmaceutical process development and quality

CIO Regulatory Support Officer Resume Examples & Samples

Supporting the Regulatory Lead in Implementation of and, input into the CIB Technology strategy
Responsible (with the Regulatory Lead) for reviewing the financial performance of the UK entities’ CIB Technology function
Supporting the administration and resolution of issues formally raised by Risk, Compliance and Internal Audit in respect of the CIB Technology function
Responsible for all aspects relating to the administration and co-ordination of the CUTOC (CIB UK CIO is chair, secretariat lies with this function). To include, but not limited to
Ability to articulate complex issues concisely and communicate effectively and comfortably with Senior Management
Excellent written and verbal communication skills at all levels, including ability to communicate effectively with Senior Managing Directs to CEO-1 level

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