Regulatory Initiatives Resume Samples

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LW
L Wolff
Lewis
Wolff
99828 Emmie Pine
Los Angeles
CA
+1 (555) 670 8505
99828 Emmie Pine
Los Angeles
CA
Phone
p +1 (555) 670 8505
Experience Experience
Chicago, IL
Strategic Regulatory Initiatives Ccar
Chicago, IL
Volkman-Sanford
Chicago, IL
Strategic Regulatory Initiatives Ccar
  • Preparing program management reports and communications, for presentation to senior management and regulators
  • Advising workstreams on construction of corrective action plans and remediation project plans
  • Coordinating with workstreams to monitor and report status of corrective action plans and project plans, and escalate emerging issues and material delays
  • Supporting overall CCAR Program Management, including
  • Providing business office support for the Strategic Regulatory Initiatives leadership team
  • Managing the annual budget and expense process including monthly accruals across the Strategic Regulatory Initiatives team
  • Assess sufficiency of resources aligned to corrective action plans
Los Angeles, CA
CIB F&BM Regulatory Initiatives & Standards Associate
Los Angeles, CA
Heller-Zboncak
Los Angeles, CA
CIB F&BM Regulatory Initiatives & Standards Associate
  • Assist with the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk etc.) of Policies & Standards impacting Markets Product Control
  • Take part in other control projects, such as the Front Office Supervision and data management
  • Involvement in the governance & reporting of Finance–related Standards & Policies. These include P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls, as well as other policies
  • Response to related ad-hoc requests from senior management, other functions & audit
  • Assist with certain aspects of the regulatory relationship agenda for Markets Product Control
  • Ensure the Program’s activities align to the department’s Technology agenda, Risk and Control Self Assessments (RCSA) and Action Plans
  • Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control
present
New York, NY
Compliance Regulatory Initiatives VP
New York, NY
Goldner, Feest and Trantow
present
New York, NY
Compliance Regulatory Initiatives VP
present
  • Reviewing existing first and second line control frameworks for compliance with rules and regulations relevant to Morgan Stanley’s business
  • Managing the “Lessons Learned” program in EMEA to ensure the Firm reviews and enhances its control framework in response to internal and external conduct and regulatory incidents
  • Manage a wide variety of EMEA Compliance led regulatory and strategic initiatives
  • Review and recommend enhancements for first and second line control frameworks for existing regulatory obligations
  • Providing support to the compliance advisory teams with respect to Global initiatives impacting their area
  • Leading on EMEA Compliance regulatory and strategic initiatives and acting as the EMEA Compliance coordinator for Global Compliance initiatives
  • Act as the EMEA Compliance representative on EMEA and Global Compliance owned initiatives and processes
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Kent State University
Bachelor’s Degree in Business
Skills Skills
  • Detail oriented and good memory skills
  • Excellent computer skills
  • Good organisational and project management skills
  • Good analytical and numerical skills
  • Ability to manage own workload and prioritise
  • Professional and articulate
  • Ability to perform multiple tasks simultaneously
  • Ability to remain focused under pressure
  • Broad understanding of the FCA Handbooks and regulatory approach
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4 Regulatory Initiatives resume templates

1

Regulatory Initiatives Resume Examples & Samples

  • Professional and articulate
  • Good analytical and numerical skills
  • Good communication skills in order to present views to senior management and to explain technical requirements
  • Good organisational and project management skills
  • Excellent computer skills
  • Ability to remain focused under pressure
  • Detail oriented and good memory skills
  • Ability to perform multiple tasks simultaneously
  • Ability to manage own workload and prioritise
  • Broad understanding of the FCA Handbooks and regulatory approach
2

Svp-strategic Regulatory Initiatives Technology Project Manager Resume Examples & Samples

  • Develop a forward-looking 'vision' for the end-to-end CCAR process, including the data, process, tools and technology required to implement the vision
  • Design and oversee the implementation of data structure, processes, tools and technology (used for methodology / models, calculations and management reporting) to support the existing, and move toward the 'visionary', end-to-end CCAR process, working closely with CCAR Management, workstreams, Franchise Risk Architecture, Risk Technology and Finance Technology
  • Learn the challenges of each CCAR process at Citi and be able to create a solution which bridges the gaps between Citi’s current systems and infrastructure and the regulatory demands placed on the firm
  • MBA preferred; 8-10 years of related work experience in Risk Management or Finance Reporting
  • A basic understanding of the existing end-to-end CCAR process, including regulatory requirements, data requirements, information and data flows, and interdependencies
  • Technology knowledge is a plus, but not a requirement as it is more important this individual possess leadership qualities and strong project management skills
  • Prior exposure to both Risk Management practices and Financial reporting processes is highly desired as CCAR requires solutions that span cross organizational boundaries
  • Strong interpersonal skills including influencing, facilitation, and partnering skills
  • Experience in working with people at various levels as well as delivering through influence & oversight
  • Demonstrated strong leadership experience, especially in transitioning or challenged environments
3

HR Business Analyst Governance & Regulatory Initiatives Resume Examples & Samples

  • Leverages knowledge of regulatory requirements, HR, process design and data/analytics to review current processes
  • Utilizes data analysis to assess process and procedural issues and make recommendations to ensure compliance with regulatory requirements
  • Actively contribute to the development and day to day management of the HR Operational Risk agenda
  • Builds and maintains relationships with stakeholders in functions within HR and across EMEA
  • Interacts/negotiates with various parties to translate regulatory requirements into commercial solutions
  • Advise and partner with stakeholders on the implementation of best practice solutions
  • Identifies process issues through day to day work and/or audits and engage appropriate stakeholders to determine resolution
  • Consults with functional HR groups on how they manage day-to-day operational aspects of the project(s)
  • Interprets client needs into appropriate recommendations for risk mitigation
  • Monitors process changes and reports on effectiveness to ensure that implemented policy, process and procedural changes designed to meet regulatory requirements are in place and operating effectively
  • Works effectively with large amounts information, able to master details and provide incisive high level overviews
  • Responds to and resolves urgent escalations along with appropriate SME and/or stakeholder
  • Identify process issues/key consistencies through day to day transactional work and engage with appropriate stakeholders to determine resolution
  • Manage audits to ensure compliance with regulatory responsibilities; escalate to appropriate stakeholders as needed
  • Training – compiling and creating training materials, delivery of training and demos where applicable
  • Producing status reports and preparing materials for steering committee meetings
  • Proven project & change management/business analysis experience, including process re-engineering
  • Effective problem solving skills, including a high degree of initiative and creativity, quality focus and strong attention to detail
4

Associate Regulatory Initiatives Group Strategy Resume Examples & Samples

  • Postgraduate degree in a business concentration preferred
  • 2-5 year’s experience in Global Capital Markets in a Trade Floor Supervisory function, Compliance or Risk role
  • Working knowledge of cash and derivative products
  • Demonstrated record of achievement and thought leadership within a business operations and project management environment
  • Excellent verbal and written communication skills, experience with MS Office, including a proven track record in developing
  • Demonstrated ability to deliver value and direct benefit to the organization; and
  • Strong trading risk and controls experience (Gap analysis, issue identification and resolution, relationship building, synthesis of ideas, diagnostic work, business process design, and business case development)
  • This position reports to the Director of Policy, Strategy and Governance
  • Monitoring GBM compliance with regulations
  • Compilation of management information reports on regulatory metrics for Trading Management and GBM Executives
  • Establish key risk indicators (KRIs) and document controls or processes
  • Provide Subject matter expertise in capital markets reform initiatives
  • Research and assess the business impact of regulatory reforms on the bank's business and operating model
  • Project Management of tactical solutions to remediate gaps and strategic solutions that optimize processes along with technology
5

Co Op Analyst Regulatory Initiatives Group Strategy Resume Examples & Samples

  • Manage project logistics (booking conference calls, taking minutes for meetings, vendor demos)
  • Compilation of management information reports on regulatory metrics for RIG management
  • Research and assess the business impact of regulatory reforms on the bank’s business and operating model
  • Project co-ordination including management of project plans
  • Other Duties as assigned by the Director
  • Previous experience in Global Capital Markets is beneficial
  • Excellent verbal and written communication skills, experience with MS Office/Projects/Visio, including a proven track record in previous work terms
  • Demonstrated ability to deliver value and direct benefit to the organization
6

Senior Manager Process Engineering & Regulatory Initiatives Resume Examples & Samples

  • Strong expertise in project management especially in leading cross function projects and solid knowledge of project management methodologies
  • 5 years + in the Capital Market business, especially OTC derivatives business; extensive knowledge of OTC derivatives products, operations processes, as well as front to back functional areas and infrastructures
  • Sharp analytical and problem solving skills. Demonstrated success in identifying, designing and implementing solutions to complex business problems
  • Experienced with process redesign and familiar with process engineering methodologies and techniques
  • Strong change leadership, communication and presentation skills
  • Result oriented, deadline driven and self-motivated
  • Strong adaptability to dynamic business environment and ambiguous regulatory landscape, as well as strong ability to fast respond to changing priorities
  • Knowledge and experience with the regulatory reforms in OTC derivatives market is asset, such as Dodd Frank and EMIR, as well as other regulations affecting the capital market business, such as FATCA
  • Proficient with MS Office tools (i.e. Project, Excel, Access, VBA, Macros and Object Oriented programming), Visio or other flowcharting tools
  • Knowledge of SharePoint administration and programming
  • Strong communication, collaboration, and leadership skills with technical organizations and management teams
  • Expertise around industry best practices in the various aspects of IT, technology trends, enterprise operations knowledge
  • Results oriented and self-motivated problem solver
  • Experienced in managing and coaching business and technical analysts for effective project delivery
7

Strategic Regulatory Initiatives Director of Ccar Execution & Reporting Resume Examples & Samples

  • Ability to define and re-engineer complex processes and procedures, with appropriate controls, and think both strategically and tactically while driving meticulous execution
  • Experience managing businesses/control functions through periods of rapid growth and/or change
  • Exceptional oral communication and writing skills, with ability to synthesize complex concepts, and translate into "user-friendly" language for multiple audiences, including the Board, senior management, multiple internal constituents and regulators
  • Ability to manage multiple priorities and tasks, work well as part of a team, and exhibit strong people and influencing skills
  • Strong attention to detail, willingness to "roll up sleeves" and produce a polished, high quality, accurate product; tireless work ethic with ability to work well under pressure
8

Regulatory Initiatives Executive Director Resume Examples & Samples

  • Professional and articulate
  • Good communication skills - able to present complex matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm’s other Divisions)
  • Advanced presentation skills - ability to produce high quality written materials (e.g. presentations, briefing notes)
  • Strong project management skills (e.g. prepare project management documentation, meeting materials, track deliverables, produce periodic Management Information)
  • Strong interpersonal skills - working with staff and external stakeholders of all seniority
  • Ability to remain focused under pressure
  • Ability to perform multiple tasks simultaneously
  • Experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or compliance function
9

Compliance Regulatory Initiatives Resume Examples & Samples

  • Good communication skills - able to present complex matters succinctly to a range of audiences (both within Legal and Compliance and across the Firm’s other Divisions)
  • Advanced presentation skills - ability to produce high quality written materials (e.g. presentations, briefing notes)
  • Strong project management skills (e.g. prepare project management documentation, meeting materials, track deliverables, produce periodic Management Information)
  • Degree educated or quivalent
10

Strategic Regulatory Initiatives Ccar Resume Examples & Samples

  • Ability to produce reports and presentation of the highest quality under tight deadlines
  • Works independently to ensure responsibilities are completed on time and to consistently exceed stakeholder expectations
  • Demonstrated ability to navigate across Citi and to widely develop relationships with stakeholders at various levels of management
  • Experience with critically reviewing processes and controls and proposing enhancements
  • Ability to support multiple priorities and tasks, work well as part of a team, and exhibit strong people and influencing skills
  • Experience supporting enterprise-wide regulatory, programs, and coordinating regulatory exams and internal audits
  • Strong attention to detail, tireless work ethic with ability to work well under pressure
11

CO OP Associate Regulatory Initiatives Resume Examples & Samples

  • Participate with the team in working with the business lines and internal stakeholders in understanding the regulatory framework, and developing systems and processes to ensure compliance
  • Represents the business lines as the front Office stakeholder in all projects involving business lines input
  • Ensures business lines input is provided to bridge the gap between rules requirements and current business lines practice
  • Work closely with the PMO Project Manager responsible for the delivery of the Front Office projects where Front Office is a Primary Owner of the project
  • Assist in the preparation of presentation materials, and progress reports to stakeholders, including senior management
  • Attend program meetings, and serve as program secretary when required
  • Maintain databases and internal tools used for tracking progress, regulatory developments and documentation
  • Conduct research, and one-off projects from time to time when required
  • University degree in business, finance, engineering and/or relevant experience
  • Prior experience and familiarity with derivatives products
  • Interest in and knowledge of the capital markets business
  • MBA, CA, CFA
  • Experience working on a major project and/or initiative team
  • Comfortable in dealing with ambiguity and matrix based environment
  • Familiarity with online project management tools and websites (including basic webpage maintenance capabilities)
  • Financial, accounting, computer literacy and excellent written and oral communication skills
  • Considerable initiative, creativity and good judgment are necessary. A high level of energy, commitment and a strong sense of teamwork are needed to succeed in the role
12

Managing Director Strategic Regulatory Initiatives Resume Examples & Samples

  • Interpretation of regulatory expectations and industry best practices supporting capital planning
  • Identification and prioritization of opportunities for Citi to remediate and enhance its own capital planning practices, based on the above, working closely with members of Risk, Finance and the businesses across Citi
  • Review and challenge of work-stream methodologies and remediation initiatives
  • Design and ongoing refinement of ‘macro’ initiatives supporting Citi’s capital planning processes, including Material Risk Identification, Scenario Design, Key Assumptions, Sensitivity Analysis
  • Design and ongoing refinement of the Capital Adequacy Assessment Framework
  • Interacting regularly, and building strong working relationships, with senior regulatory teams in NY and Washington DC
  • Preparing and presenting clear, concise and insightful materials about the capital planning process, remediation efforts and outcomes to Senior Management, Regulators and the Board
  • Working collaboratively with other members of the Strategic Regulatory Initiatives on other critical priorities, including CCAR loss allocation and optimization strategies, integration of capital planning into existing business processes, and target state design
  • Contributing to other regulatory exercises, including the Recovery Plan and Resolution Plan
  • Partnering with regional Risk and Finance partners to develop global ICAAP standards, including defining roles and responsibilities and identifying resource requirements
  • Professional skills, particularly
13

Strategic Regulatory Initiatives Organization Resume Examples & Samples

  • Remaining informed and having a basic understanding of regulatory expectations and best practices supporting capital planning
  • Actively contributing to the overall management and execution of the CCAR process, and driving change and enhancements identified by management and/or regulators. Examples include
  • BA/BS with a strong GPA, relevant coursework, and experience
  • An understanding of the banking business and/or other risk management functionality; prior understanding of risk measures a plus
  • Strong attention to detail with the ability to quickly assimilate and analyze large amounts of information
  • Ability to manage multiple priorities and tasks, work well as part of a team, voice concerns or questions and exhibit strong people skills
  • Enjoy variability in projects and skills required to meet goals and objectives, within a wide range of quantitative and non-quantitative projects
  • Sufficient self-confidence and ability to propose new ideas/solutions, ask insightful questions, and escalate issues in a timely and effective manner
  • Excellent influencing, facilitation, and partnering skills. Ability to build a strong internal network across functions and various levels of seniority
14

Senior Manager Operational & Regulatory Initiatives Resume Examples & Samples

  • Risk and Control Assessments (RCA)
  • Excellent problem solving and negotiating skills
  • Excellent written and verbal skills to prepared documentation and interact effectively with Global Wealth business lines and other departments
  • Excellent leadership and time management skills
  • Thorough knowledge of Bank's regulations, policies, procedures, operations and functions
  • Excellent knowledge of the roles and responsibilities of Global Wealth business units and support functions crossing all delivery channels
  • Expert knowledge of Excel, PowerPoint, Word, and Visio; and
15

Analyst Regulatory Initiatives Resume Examples & Samples

  • Participate with the team in working with the business lines and internal stakeholders in understanding the regulatory framework, and developing systems and processes to ensure compliance
  • Represents the business lines as the Front Office stakeholder in all projects involving business lines input
  • Ensures business line input is provided to bridge the gap between rule requirements and current business line practices
  • Work closely with the PMO Project Manager responsible for the delivery of the Front Office projects where Front Office is a Primary Owner of the project
  • Assist in the preparation of presentation materials, and progress reports to stakeholders, including senior management
  • Attend program meetings, and serve as program secretary when required
  • Maintain databases and internal tools used for tracking progress, regulatory developments and documentation
  • Conduct research, and one-off projects from time to time when required
  • Prior experience and familiarity with derivatives products
  • Interest in and knowledge of the capital markets business
  • Prior experience working on a major regulatory project and/or initiative team
  • Comfortable in dealing with ambiguity and matrix based environment
  • Familiarity with online project management tools and websites (including basic webpage maintenance capabilities)
  • Financial, accounting, computer literacy and excellent written and oral communication skills
  • Considerable initiative, creativity and good judgment are necessary. A high level of energy, commitment and a strong sense of teamwork are needed to succeed in the role
16

CO OP Analyst Regulatory Initiatives Group Resume Examples & Samples

  • Generate
  • Strong analytical skills and ability to work with large
  • Attention
17

Co Op Analyst Regulatory Initiatives Group Strategy Resume Examples & Samples

  • Manage
  • Previous
  • Excellent
  • Demonstrated
18

Analyst Regulatory Initiatives Resume Examples & Samples

  • Monitoring and reporting of regulatory controls related to Dodd Frank Title VII, EMIR, MIFID, CSA, HKMA, MAS and FATCA, as well as assessing, testing, implementing changes to business policies, procedures, operations and systems to ensure global compliance
  • Ensure operational readiness and compliance to Bank policies and procedures
  • Review and update assessments of the control environment; tracking control issues, and developments
  • Provide a high level of professional service to internal and external stakeholders, consistent with the RIG’s role as a center of excellence for Scotiabank
  • Generate comprehensive management metrics for assessing compliance performance and decision making purposes
  • Serve as initial point of contact in the Escalation Management Framework, and assist in the resolution of related issues
  • Work with Technology teams to design and enhance processes for automation by building business requirements and providing process expertise
  • Continue to acquire and enhance knowledge of business strategies and policies, regulatory requirements, processes, and changing technology to effectively assist in the provision of business solutions
  • Other ad-hoc projects for supporting operational and regulatory demands as assigned
  • Minimum 0-3 years in the financial industry or similar environment
  • Ability to work with multiple stakeholders to execute projects
  • A demonstrated ability to collaboratively work in a team environment under tight deadlines
  • Intermediate to Advanced user capabilities in Excel, Word, PowerPoint
  • Attention to detail and organizational skills
  • Knowledge of key current rules and regulations governing banking institutions, specifically in the Capital Markets business
  • Capital market products knowledge
19

HR Governance & Regulatory Initiatives VP Resume Examples & Samples

  • Knowledge of the existing UK and EMEA regulatory environment
  • HR knowledge/experience preferred
  • Experience interpreting regulation and incorporating into the relevant Firm policies and procedures
  • Wholesale banking experience
  • Project management skills – managing complex projects across functions and with multiple stakeholders and competing timeframes
  • Compliance, regulatory or consulting experience preferred
  • Some understanding of UK Employment law
  • Ability to represent HR function and influence at all levels and businesses of the Firm
20

Strategic Regulatory Initiatives Ccar Resume Examples & Samples

  • Ability to produce reports and presentations of the highest quality and accuracy under tight deadlines
  • Work independently to ensure responsibilities are completed on time and to consistently exceed stakeholder expectations
  • Experience supporting enterprise-wide regulatory programs, and coordinating regulatory exams and internal audits
  • Preferably 8+ years of experience
21

Margin Program Senior BA Collateral Management Regulatory Initiatives Resume Examples & Samples

  • Provides business analysis for the Collateral Management work stream of Margin Program
  • Has a strong understanding of OTC Derivatives Collateral processes and Collateral Legal Agreements in a Capital Markets settings
  • Independently performs business analysis across multiple regulatory projects
  • Participates in the industry discussions and is aware of the current margin regulatory rules across multiple jurisdictions (Canada, EU, U.S. and Asia), ensures that analysis activities are aligned to the rules and highlight discrepancies/limitations as they are discovered in the requirements finding stage
  • Works closely with Collateral Management, Trading Documentation, Operations and Technology groups to define business requirements and ensure regulatory compliance
  • Leads and/or assist in requirement workshops, documents business requirements and facilitates requirements review and approval process
  • Works toward resolving ambiguities
  • Contributes to the analysis of issues, incorporating quantitative and qualitative factors to evaluate analysis and leads the project to the most appropriate conclusions on specific tasks and issues
  • Supports Technology, QA and UAT teams as required
  • Provides accurate and timely status updates and assist in the development of project materials – project plan, Steering co, progress report to stakeholders including senior management
  • Provides superior client experience and strengthen work relationship with business partners
  • Facilitates small to large meetings and conducts information gathering sessions; prepares and delivers presentations to business partners and program manager
  • Collaborates with colleagues across the organization to get things done
  • Resolves conflicts/issues of medium to high complexity and escalate as appropriate
  • Provides expertise, feedback, coaching to build the capability of more junior stuff
  • Continually enhances skills and builds knowledge in all aspects of the organization, the business and information systems
  • Multiple years of experience as a BA on regulatory projects within Capital Markets and Financial Industry
  • Expert knowledge of Collateral Management Operations & OTC Derivatives
  • Trading Documentation & On-boarding, Collateral Management, Counterparty Trading Risk, Market Risk processes
  • Strong analytical skill set and ability to transform business goals into requirements
  • Requirements methods: interviewing, business process modeling, data modeling
  • Ability to work in an ambiguous fast paced environment with minimal supervision
  • Ability to work effectively with business and technology
  • Proficiency with Excel and MS Access
22

Compliance Regulatory Initiatives VP Resume Examples & Samples

  • Reviewing existing first and second line control frameworks for compliance with rules and regulations relevant to Morgan Stanley’s business
  • Ensuring that regulatory reform projects consider and deliver appropriate control frameworks for compliance with rules post implementation
  • Managing the “Lessons Learned” program in EMEA to ensure the Firm reviews and enhances its control framework in response to internal and external conduct and regulatory incidents
  • Leading on EMEA Compliance regulatory and strategic initiatives and acting as the EMEA Compliance coordinator for Global Compliance initiatives
  • Providing support to the compliance advisory teams with respect to Global initiatives impacting their area
  • Manage a wide variety of EMEA Compliance led regulatory and strategic initiatives
  • Review and recommend enhancements for first and second line control frameworks for existing regulatory obligations
  • Act as compliance lead on regulatory reform projects to ensure delivery of appropriate control frameworks post implementation
  • Act as the EMEA Compliance representative on EMEA and Global Compliance owned initiatives and processes
  • Professional and articulate
  • Good communication skills - able to present complex matters succinctly to a range of audiences (Compliance and across the Firm’s other Divisions, including Legal)
  • Strong interpersonal skills - working with staff and external stakeholders of all seniority
23

Strategic Regulatory Initiatives Organization Resume Examples & Samples

  • Remain informed and have a basic understanding of regulatory expectations and best practices supporting capital planning
  • Actively contribute to the overall management and execution of the CCAR process, and drive change and enhancements identified by management and/or regulators. Examples include
  • An understanding of the banking business; prior experience in Risk or Finance a plus
  • Exceptional oral communication, writing and presentation skills, with ability to synthesize complex concepts, translate into "user-friendly" language, and effectively present in text or slide format
  • Excellent influencing, facilitation, and partnering skills. Ability to manage multiple priorities and tasks, work well as part of a team, voice concerns or questions and exhibit strong people skills
  • Enjoy variability in projects and skills required to meet goals and objectives
24

Strategic Regulatory Initiatives Senior Manager Resume Examples & Samples

  • Lead re-engineering and cross functional projects and work-stream efforts from problem identification to successful solution implementation
  • Interact closely with assigned stress testing risk and finance work-streams to manage and enhance their processes ensuring timely responses and successful solution implementation
  • Analyze and present insightful materials about the capital planning process, remediation efforts and outcomes to senior management
  • Contribute to other regulatory exercises, including the Recovery Plan and Resolution Plan
  • Strong analytical and quantitative skills— Ability to quickly assimilate & analyze
  • Project manager experience—Ability to multi-task and to influence large working groups that do not report into the candidate; Consulting / re-engineering background and strong interpersonal skills a plus
  • Enjoy variability in workload, particularly in a wide range of quantitative and non-quantitative projects
  • Strong attention to detail; willingness to "roll up sleeves"; tireless work ethic
  • Finance or Risk background a plus—Subject matter expertise or strong understanding of regulatory environment a plus
  • Organizational savviness with ability to expand internal network across functions and to interact with various levels of seniority
  • BA/BS and 10+ years of experience
25

CIB F&BM Regulatory Initiatives & Standards Associate Resume Examples & Samples

  • Involvement in the governance & reporting of Finance–related Standards & Policies. These include P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls, as well as other policies
  • Assist with certain aspects of the regulatory relationship agenda for Markets Product Control
  • Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control
  • Take part in other control projects, such as the Front Office Supervision and data management
  • Ensure the Program’s activities align to the department’s Technology agenda, Risk and Control Self Assessments (RCSA) and Action Plans
  • Response to related ad-hoc requests from senior management, other functions & audit
  • Assist with the execution & implementation, with LOB and other functional partners (Market Risk, Middle Office, Market Risk etc.) of Policies & Standards impacting Markets Product Control
  • Experience in Product Control and Regulatory or External Reporting required
  • Strong verbal and written communication skills, including preparing & present materials to executive audiences
  • Strong analytical skills, with ability to articulate and summarize findings to a broad audience
  • Knowledge of financial products including derivatives
  • Knowledge of P&L, Risk, Balance sheet and accounting concepts
  • Creative self-starter with strong initiative, ability to take ownership and work independently as well as contribute to the broader team
26

Strategic Regulatory Initiatives Organization Resume Examples & Samples

  • Work on cross functional projects and work-stream efforts from problem identification to successful solution implementation
  • Analyze and present insightful materials about the capital planning process, including stress loss analysis (by business, by geography, will help with peer analysis and macro driver sensitivity analysis)
  • Will be involved in remediation efforts across work streams
  • Contribute to other regulatory exercises, including the Recovery Plan and Resolution Plan, as well as global ICAAPs
  • Monitor CCAR rule/instruction changes and evolving regulatory expectations; provide advice and guidance to senior Risk, Finance and business executives
  • Influencing ability—will be asked to work with large working groups that do not report into the candidate; Consulting background and strong interpersonal skills a plus
  • Enjoy variability in workload, particularly in a wide range of quantitative and non-quantitative projects; will often be asked to multi-task
  • Finance or Risk background a plus—Experience or strong understanding of regulatory environment a plus
  • BA/BS and 5+ years of experience
27

HR Governance & Regulatory Initiatives VP Resume Examples & Samples

  • Oversee execution of the SMCR Certification framework, procedures, and processes, specifically
  • Administration and control of the Fitness & Propriety and certification policy, procedures, and assessments
  • Knowledge of the existing UK and EMEA regulatory environment preferred
  • Experience interpreting regulation and incorporating into the relevant HR policies and procedures
  • Excellent communication and collaboration skills - ability to represent HR function and influence at all levels and businesses of the Firm
28

CIB F&BM Regulatory Initiatives Management Resume Examples & Samples

  • Define and manage delivery of projects as part of the team’s broader regulatory agenda, coordinating with LOB representatives at all levels
  • Assist with defining the strategic objectives required to meet and anticipate regulatory requirements
  • Coordinate & prepare responses to regulatory agencies, pertaining to requests or regulatory exams impacting Product Control
  • Assist in governance & reporting of Finance–related Standards & Policies, including P&L and Risk Standards, Significant Transaction Standards, External Reporting Standards, Pre-trade governance guidelines, Volcker guidelines & Controls
  • Represent the group in other control projects, such as Front Office Supervision and data management
  • Ensure the Program’s activities align to the department’s strategic agenda
  • Respond to related ad-hoc requests from senior management, other functions & audit
  • Knowledge of financial products including derivatives
  • Knowledge of P&L and Risk concepts
  • Experience in Product Control preferred
  • Experience of managing projects preferred
  • Strong verbal and written communication skills, including preparing & presenting materials to executive audiences
  • Good analytical skills, with ability to articulate and summarize findings to a broad audience
  • Creative self-starter with strong initiative, ability to take ownership and work independently as well as contribute to the broader team