Regulatory Risk Manager Cover Letter

I submit this application to express my sincere interest in the regulatory risk manager position.

Previously, I was responsible for constructive criticism, excellent problem-solving skills, and ability to make decisions independently; Ability to maintain confidential information.

Please consider my qualifications and experience:

• Intermediate to advanced Microsoft Office skills and strong knowledge of IESBA, EU, US SEC and PCAOB independence standards
• Detail oriented and team oriented
• Excellent understanding of the Australian Banking industry in regard to regulatory and compliance environment
• Relevant experience and a proven track record in a, compliance, internal / external audit or assurance role, with experience in financial services an advantage
• Experience in the regulatory and/or compliance environment of the wholesale financial services industry
• Detailed technical knowledge of the PRA’s and FCA's regulatory frameworks as applied to the wholesale sector, with a particular focus on SYSC, APER and the Senior Manager Regime and Certification Regimes
• Proven track record in the understanding and interpretation of relevant regulation and the implementation of solutions to address regulatory requirements
• Knowledge of the latest regulatory developments and key governance issues facing regulated firms

In response to your job posting for regulatory risk manager, I am including this letter and my resume for your review.

In my previous role, I was responsible for leadership and expertise and have the ability to challenge effectively.

My experience is an excellent fit for the list of requirements in this job:

• Knowledge of SEC and FINRA rules, and financial and operational issues affecting Broker Dealers
• Knowledge of SEC reporting and recordkeeping rules SEC 17a5, 17a3, 17a4
• Knowledge of SEC capital rules SEC 15c3-1 and knowledge of Customer Protection Rules SEC 15c3-3
• Experience interpreting financial services laws and regulations
• Experience monitoring adherence to policies and procedures
• Experience with regulators would be an asset
• Advanced knowledge and understanding of risk assessments, including inherent risk measures, control evaluations, and control testing
• Analytical skills to identify root causes of deficiencies

I submit this application to express my sincere interest in the regulatory risk manager position.

Previously, I was responsible for innovative solutions within the boundaries of regulation, have the ability to organize data and identify issues or gaps, and have the ability to effectively communicate in oral and written forms.

Please consider my qualifications and experience:

• Change/Project management in financial services institutions
• Specific regulatory or Compliance experience
• Actively engage with location trading desk managers to remain current on risk exposures, business activity, market developments
• Coordinate with FO, MO, Finance, and Model Review Group and Technology on projects relating to market risk systems, VaR, stress
• Good knowledge of financial markets (Asian local markets preferred) and interest rate products, including derivatives
• Good analytical skills and highly numerate
• Oversight and control for Operations Control Team daily processing ensuring the team's daily tasks are performed in a timely and accurate manner [as prescribed by 15C3-3(d), Reg
• Leadership, aide staff by providing direction, support and instruction to junior staff for complex problem solving], training and development needs

I would like to submit my application for the regulatory risk manager opening. Please accept this letter and the attached resume.

Previously, I was responsible for feedback to enhance representatives’ ability to sell to specific specialties.

My experience is an excellent fit for the list of requirements in this job:

• Escalation for potential risks, exception to senior management throughout the organization to ensure awareness, focused on mitigating risk offering resolutions to potential risk scenarios
• Coverage, being a flexible team player in a fast paced environment, assist management with ad-hoc projects and audits as needed
• Background in regulatory affairs, clinical/epidemiological research, pharmacovigilance, safety signal detection/work-up is an asset
• Experience in the planning or conducting clinical/epidemiological research studies an asset
• Clearly demonstrate capital markets and Fintech experience
• Well developed knowledge of the Bank regulatory environment and issue management processes
• Excellent skills in risk assessment and analysis and a solid understanding of business and financial markets
• Strong technical knowledge of regulatory requirements and understanding of trading rules such as Reg M, trade reporting, Reg SHO, and other trading related regulations

I submit this application to express my sincere interest in the regulatory risk manager position.

In my previous role, I was responsible for retrieval ability to produce data for analysis and decision making.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience as an examiner with a bank regulatory agency (ideally the Federal Reserve or Office of the Comptroller of the Currency preferred
• Big 4” or prior consulting experience preferred
• Experience in SOX and regulatory compliance strongly preferred
• Experience in designing standards and processes preferred
• Applies advanced skill in organization, training, coaching and facilitation risk/response projects
• Applies advanced knowledge of the insurance industry to include claims processes, policies, and procedures, regulatory compliance or risk management concepts/ best practices
• Works independently on highly complex assignments requiring specialized knowledge in breadth and/or depth in area expertise
• Understanding of the Australian Banking industry in regards to regulatory and compliance environment