Regulatory Management Resume Samples
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Regulatory Management Resume Samples
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CW
C Windler
Celestine
Windler
2836 Heber Cliffs
Boston
MA
+1 (555) 772 4739
2836 Heber Cliffs
Boston
MA
Phone
p
+1 (555) 772 4739
Experience
Experience
Philadelphia, PA
Central Office, Regulatory Management Group
Philadelphia, PA
Ferry LLC
Philadelphia, PA
Central Office, Regulatory Management Group
- Supporting the development of GFMS for use by RMG and Compliance through governance meetings, development activities and roll-out to users globally
- Demonstrates a professional and credible manner, especially in working relationships with representatives of the regulatory authorities and Senior Management
- A structured, particular and organised working style with high standards for accuracy
- Background gained in Banking either from Legal, Compliance / Regulatory, Business Management, Front Office or Chief Operating Office roles
- Maintaining the group’s myDeutscheBank site including the key static and operational information (e.g. Contact lists, Organograms etc)
- Maintaining tracking records of the Central Team’s activities to ensure transparency and allow oversight of the team
- Pro-actively managing and leading on projects, initiatives or requests that impact either RMG as a whole or any of the regional teams. Ensuring that RMG and Compliance management are kept suitably abreast of developments and progress
Chicago, IL
Senior Regulatory Management
Chicago, IL
Hessel-Bartoletti
Chicago, IL
Senior Regulatory Management
- Manage ongoing engagement with various broker/dealer examiners for long-term relationship development purposes
- Escalate trends and potential findings to senior management
- Managing the workflow tools used by the different agencies and monitoring for in-coming items, e.g. FINRA Gateway
- Responsible for coordinating, researching, preparing and responding to various inquiries from Regulators, primarily FINRA and SEC
- Contribute RMG reporting
- Keeping internal parties to deadlines set by regulators
- Primary point of contact for examining authorities
present
Chicago, IL
Regulatory Management Lead
Chicago, IL
Ondricka and Sons
present
Chicago, IL
Regulatory Management Lead
present
- Supporting the maintenance of key governance documentation such as the Compliance Controls Testing Policy and CCT Global Key Operating Procedures
- Supporting the Global Head of CCT in supervising the activities of CCT staff in line with the CCT Policy and CCT Global Key Operating Procedures
- Taking the lead on CCT projects and acting as CCT representative on projects run by other functions
- Coordinate and escalate daily continuous monitoring activities, supervise and direct targeted examinations, facilitate remediation of finding closure, and deliver on all facets of Regulatory Engagement
- Regulatory relationship manager and direct partner to the Bank’s onsite regulators and certain offsite regulator specialists from the various branches Federal Reserve Board system and others
- Drive multiple team-wide priorities including delivery of reporting and MIS, leadership briefing collateral, and all aspects of resourcing, including hiring and supervision of external contractors and other team members
- Monitoring Key Reporting Indicators and Key Performance Indicators relating to the CCT function and ensuring any issues are escalated to the Global Head of CCT and / or Regional Heads of CCT
Education
Education
Bachelor’s Degree in Related Field
Bachelor’s Degree in Related Field
Chapman University
Bachelor’s Degree in Related Field
Skills
Skills
- Experience of building and managing relationships with Senior Stakeholders and an ability to influence Senior Stakeholders and colleagues
- Ability to generate innovative ideas and challenge the status quo
- Track record of delivering large, complex change projects / programmes in an Investment Banking environment
- Proven experience in problem solving, business and data analysis and working to tight deadlines whilst achieving good quality outputs
- Structured and organised approach, demonstrating a high level of diligence and attention to detail – ability to ensure high quality and consistency in the deliverables produced
- Results orientated and ability to work in a fast paced environment
- Excellent communication skills
- Strong working knowledge of Microsoft Office (Excel, Word and PowerPoint)
- Strong communication skills including experience in working with staff from different cultures and nationalities, with a demonstrated ability to influence individuals who are not direct reports
- Experience in understanding and interpreting new laws and regulations and their impact across different businesses in more than one jurisdiction
15 Regulatory Management resume templates
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1
Corporate Wholesale Credit Risk Regulatory Management Resume Examples & Samples
- Experience in Credit Risk Management, and/or Credit Origination and Structuring
- Strong project management skills and ability to build effective working relationships and sell through messages to regulators and Senior Management
- Ability to perform under pressure with a commitment to deliver under tight deadlines
2
Corp-regional Compliance Regulatory Management Resume Examples & Samples
- Regional External Regulatory Interaction Oversight and reporting
- Regional Standardization of the Regulatory Tool used to track external interactions
- Regional Standardize and communicate the Regulatory exam mngt and regulatory issue resolution protocols
- Regional Oversight and responsibility on New Regulations/Regulatory Changes tracking tool
- Participate on global compliance Reg Forums
- Coordination support on Regulatory Exams
- Coordination support on regulatory fillings
- Excellent oral and written presentation skills: English, Spanish, Portuguese (Desirable)
- Professional, adaptable and collaborative worker
- Legal, Compliance, Risk or Audit background
3
Data Regulatory Management Lead-fatca Resume Examples & Samples
- Regulatory Programme/portfolio Management, Business Analysis & Requirements Definition
- PMO, Stakeholder Management and Budget Management
- Overall stream governance, defining & agreeing the Data services to be provided in support of new Regulations, consolidated Reporting (Status, Risks, Issues, Dependencies), supporting elements of the Regulatory Project Portfolio
- Program Management (PMO), oversight of Program delivery and resolving escalated issues/risks, ensuring delivery functions/Project Managers are effectively delivering, assessment of active & emerging regulations for Data impacts
- High-level Business Requirements capture, documentation & approval, coordinate funding assessment & securing budget
4
Regulatory Management Resume Examples & Samples
- Lead the production of external regulatory communications and reporting in relation to the Controls related remediation deliverables being completed across the Investment Bank
- Provide central oversight and co-ordination of all Controls related remediation deliverables committed to the Regulators, working closely with Credit Suisse regional Regulatory Affairs teams
- Help manage CS response activities to future Operational Risk incidents (if they arise)
- Preparation of governance forum and external (regulator) materials
- Monitor and report on delivery of key regulatory committed remediation milestones
- Support key stakeholder communications and relationships (e.g. Program teams)
- Bachelor’s degree or equivalent, MBA preferred
- Experience with a leading consulting firm within financial services and/or in an international investment bank
- Demonstrated knowledge of investment banking business processes – front to back
- Ease in dealing with senior management
- Understanding of design and business architecture
- Ability to manage workload independently proactively raising issues and risks for management attention
- Good ability to pull together and synthesize industry information
- Excellent communication skills with demonstrated ability to write clear, concise business communication for multiple audiences (management and regulator) and formal documents
- Knowledge of IT, including some exposure to managing IT-oriented projects
- Extremely proficient organizational skills
- Advanced knowledge of Microsoft Office applications (especially Excel, MS Project and Access)
5
Regulatory Management Lead-ib Controls Resume Examples & Samples
- Lead the production of external regulatory communications and reporting (e.g. for FINMA, PRA updates) in relation to the Controls related remediation deliverables being completed across the Investment Bank Lead the production of external regulatory communications and reporting (e.g. for FINMA, PRA updates) in relation to the Controls related remediation deliverables being completed across the Investment Bank
- Provide central oversight and co-ordination of all Controls related remediation deliverables committed to the Regulators, working closely with Credit Suisse regional Regulatory Affairs teams Provide central oversight and co-ordination of all Controls related remediation deliverables committed to the Regulators, working closely with Credit Suisse regional Regulatory Affairs teams
- Define and manage CS response activities to future Operational Risk incidents Define and manage CS response activities to future Operational Risk incidents
- Facilitate IB Global Controls Governance processes Facilitate IB Global Controls Governance processes
- Manage the QA Panel for IB Controls Regulatory committed deliverables, with participation from MD/D level mgmt. across the Front Office and Shared Services Manage the QA Panel for IB Controls Regulatory committed deliverables, with participation from MD/D level mgmt. across the Front Office and Shared Services
- LI-CSJOB* *LI-CSJOB**LI-CSJOB*Requirements
6
Pmo-regulatory Management Resume Examples & Samples
- Assist in the production of external regulatory communications and reporting (e.g. for FINMA, PRA updates) in relation to the Controls related remediation deliverables being completed across the Investment Bank
- Monitor and report on delivery of key regulatory committed milestones
- Consolidate status reporting across the IB Controls portfolio
- Provide QA and monitor execution of projects
- Support key stakeholder communications and relationships
- Own the key portfolio communication mechanisms including SharePoint
- Take ownership of a number of the key Program control processes
- Help manage CS response activities to future Operational Risk incidents
- Very good communication skills with demonstrated ability to write clear, concise business communication for multiple audiences (management, external, regulator) and formal documents
- Ability to facilitate senior management level forums / stakeholder relationships
- Excellent analytical skills with a strong attention to detail
- Fluent English, written and spoken
7
Regulatory Management Control Officer Resume Examples & Samples
- Support the monitoring / tracking / reporting of US and international regulatory examinations impacting O&T
- Cooperate with teammates to proactively monitor the execution of the corrective actions associated with O&T-related regulatory issues, including capturing latest status on resolution, via the Issue Life Cycle process
- Liaise with risk and control officers across the O&T organization
- Create and update reports on regulatory issues and exam status, clearly and concisely highlighting pertinent information for Senior Management
- Support production of regulatory updates for the O&T Operating Committee Report
- Participate in the bi-weekly meetings between the O&T Regulatory and Audit Management team and internal risk and control teams
- Anticipate potential risks to deliverables and escalate as appropriate
- Monitor and oversee O&T adherence with Technology Leave Standard and Mandatory Absence Policy
- Bachelor's Degree or equivalent experience in IT or business
- At least 5 years experience working with internal/external audit groups or regulators and the audit/exam process, during which the candidate applied a structured approach to the successful management, tracking, monitoring and reporting of regulatory issues and exams for multiple Businesses and Regions, spanning broad geographies and organizations
- Ability to work under pressure and deliver timely results without sacrificing quality
- Experience interfacing with internal and external auditors
- Excellent influencing, facilitation, and partnering skills
- At least one of the following certifications CRISC, CISA, CISM or CISSP is desirable
8
Corporate Risk Wholesale Credit Risk Regulatory Management Slf Risk Analyst Resume Examples & Samples
- Review new underwritten deals and conduct commitment stress and risk-reward analyses
- Set up permanent and temporary stress limits at the firm and legal entity levels; continuously monitor and forecast the limit utilization
- Produce weekly stress report and commentary for the senior management; work with the risk reporting team and other risk functions (e.g. country risk, legal entity risk) to ensure the accurate presentation of the Bridge Book risk across the firm
- Conduct CCAR calculation and analysis for pending commitments
- Document processes and assist in drafting stress and limit policies
- Identify control issues and assist in developing and implementing tactic and strategic solutions to systematically improve control around Bridge Book risk
- Participate in SLF/DCM meetings and develop solid understanding of the High Yield and Leveraged Loan markets
- Enhance user tools (i.e. Stress Tool and Loan Commitment Tool)
- Gather Leveraged Finance data across Wholesale Credit, assisting in regulatory exams and policy development
9
Corporate Oversight & Control Firmwide Regulatory Management Executive Director Resume Examples & Samples
- Working closely with the Head of SRS to execute on firmwide regulatory management strategy, demonstrate thought leadership on supervisory regulator engagement and develop firmwide ‘narrative’ with input from LOBs and Functions
- Managing a small team and the end-to-end process around regulatory correspondence intake, analysis and tracking
- Communicating across LOBs, Functions and Regions on regulatory matters and facilitating conversation around key themes and impact assessment
- Driving centralized regulatory issue analysis and assignments to promote consistent firmwide approach
- Interacting directly with the regulatory liaisons in the LOBs, corporate Functions and geographies
- Preparing executive level summaries of critical supervisory events (supervisory letters, supervisory changes, etc.)
- Organizing road shows, training and/or other outreach opportunities as needed to reinforce and socialize adherence to firmwide protocols
- 15+ years of legal, risk, audit, regulatory compliance and/or financial services experience
- Master’s degree, preferably in business/finance or related field
- Prior exposure to FRB, OCC and/or SEC regulatory examinations a plus
- Prior international experience and/or global responsibilities a plus
- Results-oriented with attention to detail and ability to synthesize information
- Proven ability to operate in a matrix environment and demonstrate influencing skills
- Excellent quantitative, analytical and communication abilities
- Able to work independently and ready to assume a high level of responsibility in a team setting
- Working knowledge of Word, Excel, SharePoint and PowerPoint
10
Business Manager WM Business Risk & Regulatory Management Resume Examples & Samples
- Previous experience in UBS Wealth Management and the area risk is plus
- Team player and flexible / all-rounder capabilities
- Ability to interact with diverse stakeholders thanks to excellent written and oral skills both in English and German, as well as strong stakeholder orientation
- Excellent MS Office skills (PowerPoint, Excel, Word)
11
Head of Business Risk & Regulatory Management Resume Examples & Samples
- Planning & Organising: Is personally well organized and keeps focused on priorities in own and others' work. Develops and monitors clear and realistic action plans to accomplish given objectives using given resources
- Problem Analysis: Identifies and examines problems in order to understand them, generates options and recommends solutions which are logical, reasonable and realistic
- Resilience & Stress Management: Is flexible, tolerates changes in methods, approaches and objectives. Maintains their performance and confidence in difficult, stressful, ambiguous and challenging circumstances
- Judgement & Decision Making: Strives to enhance processes and procedures, and to improve quality and efficiency. Additionally, collates and captures organizational knowledge for the benefit of themselves and others
12
Regulatory Management Control Resume Examples & Samples
- Continuously assess end to end control framework for CCAR in the LOBs and central teams by
- Experience managing large-scale and complex RCSA implementation projects is a plus
- 8+ years in Control, Compliance, Risk Management, Audit, or Finance role with a control focus
- Solid organizational, project management, and multi-tasking skills with demonstrated ability to manage expectations and deliver results in a fast paced environment
- Strong personnel and organizational management skills, including expertise in issue and conflict resolution and the ability to effectively build, mentor, lead, develop and retain talent
13
Head Business Risk & Regulatory Management Resume Examples & Samples
- Lead a team of business risk experts and drive the consistent implementation of the group risk framework within the organization
- Ensure appropriate Oversight & Governance is in place for all divisions
- Identify, assess and analyze operational risk
- Execute controls according to the local and global control plans and ensure proper documentation
- Collaborate with department and team heads and proactively define holistic solutions which meet the interests of the business (e.g. review and design of controls, adaptations of the control framework due to process changes)
- Closely interact and collaborate with stakeholders within Operations, Business Management, Legal, C&ORC and Group Internal Audit
- Support regulatory projects, taskforces and working groups
- Supervise and consult our branches in Austria, Sweden, Denmark and Ireland
- Strong analytical, organizational and project management skills
- Strong communication skills with colleagues at all levels in the organization
- Strong leadership and stakeholder management skills
- Fluency in English and potential other languages
14
Product & Regulatory Management Specialist Resume Examples & Samples
- Ensuring regulatory, investment suitability, cross border, internal policies & control requirements are met, while mitigating operational risk. Ensuring effective introduction and clear communication of new services/ procedures
- "Run the bank" responsibilities such as various product management & documentations, reporting, procedures & controls, investment suitability as well as handling enquiries from Legal, Compliance, Markets, Investment Suitability and IPS colleagues, Regulators and other Risks functions
- Enhancing the Capital Markets product framework, process efficiency and operational synergies
- Product marketing/education materials and conducting training
- Product due diligence, including product education and documentations, counterparty framework, product classifications in terms of product features, risks, sophistication etc
- Planning and implementation of global initiatives, and other ad-hoc projects
- Design and testing of related IT systems and enhancements
- Min.7 years of experience in the financial industry, with solid knowledge of financial products (derivatives, bonds, equities) and financial regulations
- Strong analytical, project management and problem solving skills
- Business oriented, and yet risk conscious & attentive to details
- Experience in regulatory, compliance, risk and product management areas is required
- Proficient in writing and communications in Chinese and English
- Ability to work under pressure and tight timeline
- Amicable & client oriented. Ability to build harmonious and effective working relationships with various cross functional partners and stakeholders
- Master degree in related field. CFA, MBA or any other additional qualification will be an added advantage
15
Regulatory Management & Business Support Resume Examples & Samples
- Supporting the management of the FINMA relationship, ensuring auditable and policy-conform operations standards
- Management of information deliveries to FINMA and other core regulators; internal coordination of responses to ad hoc queries
- Planning and management of important interactions with FINMA and other regulators
- Administration and further development of the MIS supporting auditable and policy-conform operations standards
16
VP Regulatory Management Group Resume Examples & Samples
- Supporting the coordination of international relationships, with the most important national regulatory authorities worldwide
- Assisting the team in taking responsibility, for global Senior Management Reporting in the Regulatory Management Group
- Developing and implementing a sustainable process for the identification, preparation and consistent transmission of relevant information to the bank's global regulators
- Coordinating/preparing prompt responses to regulator information requests, relating to globally relevant issues, in close collaboration with the global Regulatory Management team as well as relevant (specialist) departments, in particular Legal, Incident Management Group (IMG) and Group Audit
- Representing the Regulatory Management Group in working groups, preparing bank-wide projects to coordinate information from regulatory authorities
- Monitoring regulatory developments, in cooperation with the Regulatory Affairs department
- Organising regulatory colleges, including coordinating with regulatory authorities and internal stakeholders, preparing and executing audience-specific internal briefings for the Bank's Senior Management, both prior and subsequently to the colleges and attending relevant college meetings for documentation purposes
- Developing and creating an informative global report of the Regulatory Management Group for the Bank's Senior Management
- Ensuring a steady information flow across the different teams, in the Regulatory Management Group
- Implementing an adequate relationship matrix and preparing consistent standards and minutes to facilitate responses to a range of regulator queries
17
Audit Director, QA-regulatory Management Resume Examples & Samples
- Contributes to strategic direction of Citi’s Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance. This is to be consistent and aligned with Citigroup and Citibank business objectives
- Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engages in both internal and external negotiations which will have a major impact on the function, and possibly on the organization as a whole
- Contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees, developing trend analyses and thematic reporting
- Manages multiple teams of professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans
- Delivers learning and development programs and is a recognized leader in training and developing others
- Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit and both Citibank and Citigroup
- Ensures IA meets/exceeds the requirements and expectations of Citibank’s and Citigroup's regulators
- Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for Citi to have a “Strong” internal audit function and for Citi to have “Strong” control functions
- Fully supports and endorses the Quality Assurance function of Internal Audit and promptly accepts and remediates deficiencies found by QA
- Ensures the adoption of the appropriate portions of the Citigroup and Citibank Audit Committee Charters and the Internal Audit Charter for applicable legal entities
- Proactively advances integrated auditing concepts. Leverages Internal Audit's Centres of Excellence to improve audit processes and coverage
- Centralizes coordination of regulatory exams, inquiries and deliverables for IA globally
- Develops and maintains an inventory of all responses to regulators through utilization of the Regulatory Interaction Management System (RIMS)
- Works with the IA Heads of Audit and Chief Audit Executives for all 101 Citi Presence Countries to ensure that all requests are escalated, reviews, approved and responded in a timely manner with all appropriate IA senior management involvement
- Works with the IA Product and Regional Chief Auditors to coordinate all regulatory exams and provides updates to the IA Leadership Team on a regular basis
- Reviews and tracks local laws and regulations annually relating to IA operations/requirements in the 102 Citi Presence Countries
- Tracking of Post Mortem, back testing of reg issues and linking to audit coverage
- BA/BS or equivalent required; advanced degree a plus
- Law Degree from an accredited institution and local bar admission/license to practice preferred but not required
- Advanced level experience in a related role with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables
- Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment
- A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business unit heads by providing proactive advice on a variety of audit matters while carefully balancing the independent requirements of the IA function
- Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
- Strong interpersonal skills for interfacing with all levels of internal and external audit and senior management
- Strong leadership skills with a proven track record in managing teams and making a positive impact on the organization
18
Senior Auditor QA Regulatory Management Analyst Resume Examples & Samples
- As a seasoned professional applies solid understanding of internal audit standards, policies, and global regulatory environment to conduct meaningful analysis
- Contributes to the development of audit processes improvements
- Applies solid understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function
- Develops effective relationships and collaborate with audit teams to ensure strong analysis
- Tracks regulatory exams and reports on status for US regulatory exams (Examination Tracker)
- Coordinates back testing of regulatory issues and prepares summary reports (ACRE)
- Performs trending analysis of regulatory issues globally (GRITA)
- Maintains regulatory interaction procedures
- Tracks Post Mortem activities and respective action plans
- Supports and provides back up to the functions performed by the Regulatory Coordinator AVP and QA Methodology AVP
- Supports with data gathering and analysis in support of project initiatives and/or QA products managed by the QA team
- BS/BA degree or equivalent combination of education/experience
- Work experience in data analytics in the Financial Services industry, preferable from a control function perspective. Working knowledge of regulatory environment for Financial Services a plus
- Strong analytical skills and ability to synthesize data
- Strong organizational skills and proven ability to multi-task
- High Proficiency in Excel, Word and PowerPoint
- Strong presentation skills are essential. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
- Effective interview, negotiation, and influencing skills. This person will be comfortable acting as an agent for positive change with agility and flexibility
- Strong interpersonal skills for interfacing with all levels of internal audit management
- Ability to manage conflict and work under pressure
- Strong team player; able to network, build and leverage relationships across the organization
19
Audit Manager QA Regulatory Management Resume Examples & Samples
- In this role you will be responsible for performing detailed analysis and partnering with the relevant product/function Chief Auditors, Head of Audits and Chief Audit Executives to
- Influence a wide range of internal audiences including respective product, function, or regional IA management. Frequently engages in internal negotiation which will have an impact on Internal Audit practices
- Through development of trend analysis and thematic reporting, contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and Citigroup and Citibank boards' sub-committees
- Tracks coordination of regulatory exams, inquiries and deliverables for IA globally
- Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit
- Tracks of Post Mortem, back testing of regulatory issues and linking to audit coverage
- Provides input to the maintenance and update of the various QA products (Scorecard, Site Reviews, Thematic Reviews, Post Mortem)
- Assists in the review and improvement of Global Internal Audit methodology and practices through
- BS/BA degree or equivalent
- Candidates should have at least 8 - 10 years of diversified experience in the Financial Services industry, preferable from a control function perspective. Working knowledge of regulatory environment for Financial Services a plus
- Must have extensive experience in data analytics with a sound understanding of best-in-class audit methodologies
- Strong analytical skills and ability to synthesize data. High Proficiency in Excel, Word and PowerPoint
- Skilled at analyzing root causes of problems and anticipating ‘horizon’ issues. Related certifications (ACA, CPA, CFA, MBA, CIA) are a plus
20
Operational Risk Regulatory Management Resume Examples & Samples
- Providing technical guidance and interpretation of US regulations as they relate to the measurement and management of operational risk
- Review and challenge of annual self-assessments against US rules related to all aspects of operational risk management
- Analysis of new US regulations related to Operational Risk, alerting key stakeholders to proposed regulatory changes and working with them to identify risks and opportunities
- Tracking and reporting of regulatory commitments and informing senior management of commitments that are at risk of being missed
21
Risk Regulatory Management Resume Examples & Samples
- Identifying and interpreting new regulation including ensuring alignment with the Firm’s risk management framework
- Developing a compliance framework for regulatory rules
- Supporting the implementation of new regulation through interpretation of regulatory requirements
- Oversight of risk management committees
- Experience in management by influence, facilitating and gaining consensus
22
Head of Audit, Issue & Regulatory Management Resume Examples & Samples
- Define and implement an audit & issues management program and governance model for all of CT&R
- Counsel CT&R businesses to ensure that all internal and external audits and issues are effectively managed by raising awareness of audit methodology, audit readiness and engagement techniques, and best practices
- Drive CT&R’s SOX and SSAE 16 program and serve as an interface to other LOBs and external auditors
- Participate in the firm-wide technology SOX and SSAE 16 steering committee to influence the program and drive execution of requirements effectively across CT&R
- Partner with the SOX testing team to define test procedures and ensure timely and accurate SOX testing execution
- Facilitate responses to audit and regulatory inquiries including research, preparation and pre-submission QA of deliverables
- Develop and implement processes to ensure new issues are prioritized effectively, root causes are addressed and remediation is timely
- Ensure corrective actions are fit for purpose prior to creation, monitored closely and escalated appropriately
- QA and validate evidence upon issue closure
- Build out robust audit, issue and IT break management reporting capabilities to keep stakeholders proactively aware of performance and to articulate CT&R’s risk posture
- Lead stakeholders in working groups to educate on the audit and issue management program, including provision of training materials
- Correlate themes, perform risk analytics and ad hoc risk assessments to identify weaknesses and provide recommendations to improve the quality and effectiveness of the control environment
- Minimum of 15+ years experience in IT Audit, Information Technology, IT Risk, or IT Controls. IT Audit experience preferred
- Information security of IT controls certifications (such as CISSP, CISA, CISM or related certifications) would be preferred
- Broad proficiency in technical skills and expert knowledge of Identity and Access Management technologies and solutions
- Strong interpersonal and communication skills, plus the ability to achieve goals through influence, collaboration, and cooperation
- Demonstrated ability to work effectively with all levels of and organization from executives to technology specialists
- Ability to persuade and influence is KEY
- Must have ability to be tactful yet assertive
- Ability to influence across the organization at a senior level including technology and business executives
- Strong client relationship management skills at all levels with the business and technology
- Facing off to Chief Technology Officers and Heads of Business functions with the ability to convey complex controls topics in a clear understandable manner
- Exceptional data analysis, both quantitative and qualitative
- Strong reasoning and logic, problem solving skills
- Experience in working with diverse cross geography teams including managing an offshore and/or outsourced team
23
Compliance Head of Regulatory Management & Change Managing Director Resume Examples & Samples
- With the regional CCO and global functional reporting lines, setting the strategic relationship agenda and actioning the firm’s senior management on this agenda
- Managing Regulatory Management and Regulatory Change Management teams and the end-to-end process around regulatory correspondence intake, analysis and tracking
- Communicating across lines of business, functions and regions on regulatory matters and facilitating conversation around key themes and impact assessment
- Driving centralized regulatory issue analysis and assignments to promote consistent firm wide approach
- Interacting directly with the regulatory liaisons in the LOBs, corporate Functions and geographies
- Preparing executive level summaries of critical supervisory events
- Organizing road shows, training and/or other outreach opportunities as needed to reinforce and socialize adherence to firm wide protocols
24
Regulatory Management Delivery Analyst Resume Examples & Samples
- Leading impact assessments of new regulatory updates and the impact on the bank
- Undertake strategic options and assessments work to develop responses and options to respond to regulatory change
- Conducting traceability mapping & requirements analysis between regulations, rules, requirements and solution to provide an auditable view of how Barclays UK is complying with the regulations
- Support User Acceptance Testing
- Interface with multiple stakeholders across legal, compliance and technology to develop appropriate requirements, processes and solutions
- Developing procedures & processes for operational readiness
- Developing Regulatory Requirements in alignment with regulatory rules
- Use appropriate business analysis and change techniques to work with the business and technology teams to analyse and implement change to support regulatory requirements
- Understand the impact of regulatory requirements on Barclays UK processes and the business areas that use them and develop operating model designs and processes that implement the requirements in an optimal way from a client experience, process & cost efficiency perspective
- Validate technology designs and solutions against business requirements and complete appropriate traceability
- Assist in preparation of test scenarios and test scripts where appropriate
- Liaise with project managers, designers and development teams (on-site and off-shore) to ensure that projects in progress are developed to deliver the regulatory change requirements
- Prepare agreed deliverables in line with standards, to meet agreed quality standards and timelines
- Contribute to the development of business analysis, change management tools, techniques, standards and methodologies to improve their efficiency and effectiveness
25
Regulatory Management Business Analyst Resume Examples & Samples
- Leading impact assessments of new regulatory updates and the impact on the bank
- Conducting traceability mapping & requirements analysis between regulations, rules, requirements and solution to provide an auditable view of how Barclays UK is complying with the regulations
- Developing procedures & processes for operational readiness
- Liaise with project managers, designers and development teams (on-site and off-shore) to ensure that projects in progress are developed to deliver the regulatory change requirements
26
Corporate Risk-wholesale Credit Risk Regulatory Management Analyst Resume Examples & Samples
- Assist in managing the Pending Commitments project as a coordinator among the technology team, credit bankers, credit middle office, credit risk reporting team, business managers and other stakeholders
- Own the Best Efforts Lev. Fin. exceptions tracking and reporting process
- Support ad hoc regulatory and rating agencies' requests by working directly with the impacted business units, including but not limited to the Debt Capital Markets, credit bankers, credit risk reporting teams and the senior management
- Actively involve in “change” projects to improve the efficiency and effectiveness of how we manage credit risk, including automating the Bridge Book stress process; be an expert of “credit risk best practices”
- Learn the debt underwriting business and assist in managing the underwriting risk through stress testing the DCM Bridge Book
- Bachelor degree required; an advanced degree or working towards getting an advanced degree or the CFA designation not required but encouraged
- Experience in credit risk management, credit risk reporting, loan operations, debt origination, project management, and business consulting preferred
- Passionate about the markets; interested in the regulatory landscape and its impact to the markets and financial industry
- Very detailed oriented; at the same time, being able to think holistically, creatively and critically
- Ability to learn new computer applications or risk systems quickly; advanced in Excel, PowerPoint, and Word applications
- Ability to multitask and perform under pressure with a commitment to deliver under tight deadlines
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Risk Regulatory Management Executive Administrative Assistant Resume Examples & Samples
- Actively manage and schedule regulatory meetings, working effectively with regulatory contacts, RRM team members, other administrative assistants, and Conference Planning, to coordinate/plan meetings and conference calls
- Actively manage a calendar of internal prep meetings required in advance of regulatory meetings
- Coordinate materials for meetings, including managing service requests to Production Services
- Develop and maintain electronic files, pertaining to meetings, exams, and risk reports
- Maintain the team’s regulatory contacts list
- Monitor the “Regulatory Coordinator” inbox for correspondence that requires review by RRM team members
- Maintain records of examinations in the firm’s system of record (ROSE)
- Create Sharepoint sites used by RRM and exam teams to organize and manage exam content
- Manage general office needs, eg ordering supplies, technology needs
- Strong calendar management skills, including the ability to work with others to find creative solutions to scheduling challenges
- Interest in Risk and the regulatory agenda, and willingness and ability to learn the business and fully understand how and why tasks satisfy business needs
- A team player, who thinks proactively about how to make the team stronger
- Ability to work independently as well as part of the team
- Coordinate group coverage (i.e., vacations, training, temporary assistance)
- Minimum 3 years of senior executive administrative experience, or the equivalent
- Proven PC skills, including high level of proficiency in Microsoft Office applications (Word, Excel, PowerPoint, Outlook)
- Knowledge of Risk Management and/or exam/regulatory management are pluses
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AVP Regulatory Management Delivery Analyst Resume Examples & Samples
- Provide analysis, requirements definition and change management skills in support of regulatory change programmes required to ensure that the Barclays UK complies with new or amended regulatory, risk and control requirements, including
- Designing changes to existing operating models and processes to ensure regulatory change requirements are incorporated whilst ensuring end to end Barclays UK processes are optimised
- Support implementation and execution of re-designed/ engineered processes to BAU to ensure regulatory change requirements are embedded in Barclays UK
- Document the regulatory change requirements and facilitate business, internal IT and external suppliers’ teams understanding of those requirements
- Ensure that knowledge and experience is shared through best practice, mentoring and leading
- Experience in undertaking regulatory interpretation on US & European regulation and presenting business friendly regulation summaries for numerous audiences
- Experience of developing traceability between regulations, interpretations, requirements, solutions and proving reverse traceability (if appropriate)
- Ability to operate in a complex, matrix environment and work with cross functional groups and establish rapport and credibility at all levels
- Understanding of Financial Services environment
- Experience of working in a consultancy environment for a big-5 firm
- Experienced in stakeholder management at a senior level
- Awareness of key drivers of service excellence and operational efficiency
- Understanding of full project lifecycle
- Visio, Word, Excel etc
- Ability to demonstrate significant experience of working for or closely with an IT, Transformation or Change department
- Appreciation of the implications of change on organisations
- Demonstrable experience of leading both virtual and direct professional teams in a pressurised, high-visibility environment
- Strong Leadership
- Excellent Facilitation skills
- Proven Communication skills (written & verbal)
- Wide breadth of experience in various analysis techniques
- Educated to degree or MBA level to be able to meet the intellectual demands of the job, or can demonstrate equivalent experience
- Knowledge/formal training in business analysis and change management techniques
- Appropriate professional accreditation in the Group’s mandated methods and tools for strategic Business Change (Entrants without formal accreditation will be expected to achieve accreditation within 2 years of entry)
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AVP Regulatory Management Business Analyst Resume Examples & Samples
- Undertake strategic options and assessments work to develop responses and options to respond to regulatory change
- Developing Regulatory Requirements in alignment with regulatory rules
- Document the regulatory change requirements and facilitate business, internal IT and external suppliers’ teams understanding of those requirements
- Ensure that knowledge and experience is shared through best practice, mentoring and leading
- Contribute to the development of business analysis, change management tools, techniques, standards and methodologies to improve their efficiency and effectiveness
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Regulatory Management Design Lead Resume Examples & Samples
- Develop design, implementation plans and implement to make Barclays UK for assigned regulatory programmes
- Working with multi-disciplinary teams including technology
- Demonstrable track record of successful delivery of large-scale, high-profile strategic change projects
- Educated to degree or MBA level to be able to meet the intellectual demands of the job, or can demonstrate equivalent experience
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Senior Specialist, Regulatory Management Resume Examples & Samples
- Implement and ensure maintenance of Company and facility-specific EHS management systems, policies, programs, and procedures
- Provide guidance and counsel facility management on a broad range of EH&S issues while providing technical support on regulatory requirements, permitting, recordkeeping, reporting, etc
- Serve as a member of, and technical advisor to, the facility EH&S Steering Group and subcommittees
- Review all proposed facility process, layout, and equipment changes; make necessary recommendations to facility management to minimize adverse EH&S impacts
- Develop annual training plans and oversee or conduct employee EH&S training according to this schedule
- Serve as main contact/liaison between facility and regulatory agencies
- Participate in investigation of all injuries, illnesses and environmental releases; ensure appropriate corrective actions are completed and documented in a timely manner
- Lead facility staff in completion of facility EH&S risk assessment addressing all media/concerns (air, water, waste, industrial hygiene, safety, ergonomics, fire protection). Develop, implement, and oversee action plans to eliminate hazards and minimize risks
- Manage the facility's workers' compensation program to minimize claims and control costs
- Conduct inspections and audits as needed to measure effectiveness and implementation of facility EH&S programs
- Partner with departmental leaders to ensure full understanding of applicable EHS requirements
- Bachelor’s in related field, or equivalent work experience, required
- 2+ years of experience in related field, preferred
- EHS-related certification (CSP, ASP, etc.), preferred
- Applies working knowledge in the application of concepts, principles, and technical capabilities to perform varied tasks
- Works on projects of moderate scope and complexity
- Identifies possbile solutions to a variety of technical problems and takes actions to resolve
- Applies judgment within defined parameters
- Receives general guidance may receive more detailed instruction on new projects
- Work reviewed for sound reasoning and accuracy
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SVP Regulatory Management Resume Examples & Samples
- Develop and establish an effective regulatory exam management process to oversee all state and regulatory exams
- Interfaces with applicable regulatory agencies (CFPB, FRB, FDIC, etc)
- Participate and represent the Company in formal and informal regulatory meetings
- Responsible for interacting with exams by federal and state examiners and regulators, including settlements, exam responses, hearing requests and essential compliance/policy changes to ensure such compliance is properly instituted so as to minimize future exceptions
- Provides support and guidance to the business in preparation for, during, and after examinations
- Manage and facilitate the examination process, including delivery of material, scheduling and facilitating of meetings
- Strengthen internal communication between Regulatory Relations team and the business units and support services to promote a culture of transparency
- Advises the Company’s General Counsel, SHUSA’s Regulatory Relations Officer and other key stakeholders on likely outcomes of exams and keep abreast of all information that is being delivered to the regulators
- Assists in development of supervisory recommendation responses
- Supports the timely and successful remediation of identified regulatory issues
- Be responsible for the timely and accurate tracking and reporting on regulatory issue remediation status
- Directs the timely and accurate tracking and reporting on issue remediation status
- Escalates issues to Senior Management and other stakeholders and relevant governance committees, as appropriate
- Assists in formalizing a sustainable and repeatable process to risk assess, monitor and track regulatory applicability to drive audit and monitoring coverage and clearly identify gaps
- Develops a tracking mechanism and ensure timely and appropriate responses to regulator requests and responses to MR(I)As and Enforcement Actions
- Ensure policies and procedures are adhered too and updated regularly
- Responsible for staying abreast of regulatory issues and developments, evaluating impact on the company and, as appropriate, applicable exam
- Monitor federal regulatory developments through various methods to provide up to date knowledge and expertise on environment relevant to regulatory exams
- Lead ad-hoc projects and provide appropriate guidance to team members
- Provides leadership and specialist knowledge to business teams on regulatory matters to ensure a culture of compliance and partnership
- Leads continued development and initiatives for a robust, cohesive regulatory management program
- Manage and maintain a central regulatory examination file containing all material Regulatory Communications
- Provides effective people management, including training and development, to ensure retention, nurturing and continuing professional development of our talent
- Provides continuous motivation and development of the team, including setting adequate and measurable goals / objective setting to aide staff development with ongoing review
- Oversees SCUSA’s adherence to applicable financial services legislation and regulations, codes of best practice and Santander US Policies
- Demonstrates ability to work as part of a team and train others on regulatory requirements
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Regulatory Management Lead Resume Examples & Samples
- Supporting the Global Head of CCT in leading and managing the operation of the CCT function. This will include deputising for the Global Head of CCT when necessary
- Acting as a Key point of contact for all stakeholders including CCT staff, Compliance Management, other Compliance functions, Business Management, Group Audit and Regulators
- Supporting the maintenance of key governance documentation such as the Compliance Controls Testing Policy and CCT Global Key Operating Procedures
- Supporting the annual CCT planning processes to ensure that all necessary testing coverage is identified and documented. Ensuring that resource implications of the testing plans are factored into the annual Compliance budget process
- Supporting the Global Head of CCT in supervising the activities of CCT staff in line with the CCT Policy and CCT Global Key Operating Procedures
- Providing training and guidance to CCT staff on the requirements of the CCT Policy and CCT Global Key Operating Procedures
- Managing the production of regular Management Information
- Monitoring Key Reporting Indicators and Key Performance Indicators relating to the CCT function and ensuring any issues are escalated to the Global Head of CCT and / or Regional Heads of CCT
- Working with Information Technology functions and vendors to support the development and maintenance of CCT systems, including the development of functional specifications
- Organising and managing key CCT governance forums including the CCT Global Leadership Group, CCT Management Group, CCT Practice Groups and Divisional Liaison Meetings
- Taking the lead on CCT projects and acting as CCT representative on projects run by other functions
- Extensive experience of working in a Compliance or Risk and Control function, preferably within an Investment Bank
- Understanding of Compliance risks and testing requirements
- Experience of building and managing relationships with Senior Stakeholders and an ability to influence Senior Stakeholders and colleagues
- Track record of delivering large, complex change projects / programmes in an Investment Banking environment
- Proven experience in problem solving, business and data analysis and working to tight deadlines whilst achieving good quality outputs
- Structured and organised approach, demonstrating a high level of diligence and attention to detail – ability to ensure high quality and consistency in the deliverables produced
- Results orientated and ability to work in a fast paced environment
- A positive, collaborative and flexible approach required to operate in a constantly changing environment
- Strong working knowledge of Microsoft Office (Excel, Word and PowerPoint)
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Senior Regulatory Management Resume Examples & Samples
- Responsible for coordinating, researching, preparing and responding to various inquiries from Regulators, primarily FINRA and SEC
- Manage ongoing engagement with various broker/dealer examiners for long-term relationship development purposes
- Gather and analyze data sourced from various internal Compliance, Business, Operational and IT personnel for request submission
- Validate that proposed submission is fully responsive and sufficient formalized
- Organize and lead calls internally and externally to resolve or clarify request-related issues
- Prioritize regulatory requests for Lines of Business and Control Groups
- Primary point of contact for examining authorities
- Escalate trends and potential findings to senior management
- Synthesize and clarify regulatory requests for internal stakeholders
- Recognize when a matter needs to be referred to Legal
- Updating the RMG inquiries database (REITS)
- Presenting Regulatory activity to OpCos and SteerCos as needed
- Managing the workflow tools used by the different agencies and monitoring for in-coming items, e.g. FINRA Gateway
- Keeping internal parties to deadlines set by regulators
- Ability to work collaboratively within the RMG team
- Contribute RMG reporting
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Corporate CIO Treasury Liquidity Regulatory Management Executive Director Resume Examples & Samples
- Input to strategic issues impacting liquidity and funding across the EMEA entities, especially in the light of heightened recovery and resolution planning expectations and anticipated changes in legal entity footprint in EMEA
- Review and input to regulatory dialogue and submissions including, ILAAP, CFP, recovery, and resolution documents; and management of communications to senior internal management and legal entity boards/governance
- Continuous development and enhancement of the firm’s approach to LCR and NSFR compliance and controls, both proactive and in response to regulatory guidance or rule changes
- Review and input to public disclosures related to liquidity (Pillar 3)
- Represent the firm in interactions with the regulatory agencies on liquidity, recovery and resolution; present materials and updates, and facilitate regulatory reviews
- Partner with internal stakeholders in continuously enhancing and automating liquidity and funding analytics capabilities related to LCR, NSFR, recovery and resolution planning
- The role reports to the head of EMEA Liquidity Regulatory Management
- Financial services industry / regulatory experience with a focus on liquidity management, balance sheet, business analysis, treasury experience, or related regulatory reporting / management experience
- Strong knowledge of liquidity management strategies and an understanding of new and pending liquidity regulations and their impact on the firm
- Prior experience in designing and implementing recovery and resolution plans
- Ability to operate in an environment with a high level of scrutiny and ability to collaborate effectively with a range of internal and external stakeholders across levels
- Ability to work independently with minimal oversight but able to lead and develop others, and be an effective team member
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Central Office, Regulatory Management Group Resume Examples & Samples
- Pro-actively managing and leading on projects, initiatives or requests that impact either RMG as a whole or any of the regional teams. Ensuring that RMG and Compliance management are kept suitably abreast of developments and progress
- Providing support and advice to Deutsche Bank staff when internal matters or critical events that are cross-border or multi-jurisdictional in nature require notification to Supervisory Authorities. Where necessary, you will take an active lead in assessing whether a notification is required and supporting such notifications
- Co-ordinating / preparing prompt responses to regulator information requests relating to globally relevant issues, in close collaboration with the local RMG teams as well as Subject Matter Experts (SME) from relevant departments
- Ensuring a globally consistent flow of relevant information across the most important Supervisory authorities worldwide and ensuring a steady information flow across the different teams in Regulatory Management Group
- Maintaining appropriate records of regulatory interactions during critical event notification
- Regularly reporting on centrally co-ordinated notifications or updates to regulators
- Supporting the development of GFMS for use by RMG and Compliance through governance meetings, development activities and roll-out to users globally
- Maintaining tracking records of the Central Team’s activities to ensure transparency and allow oversight of the team
- Maintaining RMG’s policies and key operating procedures (KOPs), making changes as-and-when deemed necessary
- Maintaining the group’s myDeutscheBank site including the key static and operational information (e.g. Contact lists, Organograms etc)
- Professional experience either from or with Supervisory Staff from a financial or banking background
- Background gained in Banking either from Legal, Compliance / Regulatory, Business Management, Front Office or Chief Operating Office roles
- Experience gained managing and organising operational activities, either from working on change projects, business management or audit experience
- Demonstrates a professional and credible manner, especially in working relationships with representatives of the regulatory authorities and Senior Management
- A structured, particular and organised working style with high standards for accuracy
- A self-starter with the ability to take the initiative, direct others and overcome institutional inertia, especially where change is required to pro-actively address changing regulatory expectations
- A creative problem-solver, with the ability to build trust and sustain relationships, handle conflict and pressure and deal with sensitive tasks and issues
- Strong communication skills (both verbal and written) with the ability to express complex ideas and arguments clearly and effectively, along with an excellent attention to detail
- Capable of managing multiple projects in parallel under short time constraints with the ability to rapidly adapt as issues dynamically arise and develop
- Strong co-ordination, delivery and analytical skills
- Enthusiastic team player who has experience of managing others and is able to collaborate effectively to get things done
- Understanding and considerable interest in regulatory matters and issues
- Sound knowledge of a bank's organisational structures
- Full command of Microsoft Office applications, in particular Powerpoint
- Excellent English skills, German beneficial
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Regulatory Management Lead Resume Examples & Samples
- Providing oversight and on-going optimisation of the technology tool used by GRC to deliver its work product including assessing and where necessary challenging the fitness for purpose of enhancements delivered by the vendor and internal providers
- Raising awareness of extra-territorially significant items, by deciding on the contents of and compiling an extra-territorial regulatory developments bulletin every month
- Acting as a point of liaison to align the work product of GRC to deliverables
- Strong communication skills including experience in working with staff from different cultures and nationalities, with a demonstrated ability to influence individuals who are not direct reports
- Experience in understanding and interpreting new laws and regulations and their impact across different businesses in more than one jurisdiction
- An aptitude for learning and remaining current on industry rules, regulations and best practices
- Ability to interface with, influence and, when appropriate, challenge senior management across infrastructure functions, compliance and regional management
- Delivery focus and disciplined approach with the ability to be pro-active and work under pressure within tight deadlines across different time zones, whilst maintaining high quality results
- Ability to focus on and communicate GRC’s long-term objectives in an engaging and collaborative manner, in the face of continual change
- Current practising certificate (or a recognised equivalent) with an extensive background working in Legal or Compliance in a financial institution with its headquarters in Europe and/ or for a European Union Regulator
- Knowledge of additional languages (beneficial)
- Experience working overseas (beneficial)
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Regulatory Management Center Specialist Resume Examples & Samples
- Data administration (ensuring all systems and databases are filled-out correctly and in time)
- Label Coordination process (maintain perfect labels and manage (label) translation to and from local language
- Responsible for timely preparation and approval of country records and related attachments on behalf of the Marketing Authorization Holder (MAH) or representative
- Key Responsibility for archiving all relevant submission and approval documents
- Responsible for document import, handling and approval
- Set-up of local records and continuous update throughout submission and approval process
- Performing and/or Planning of labelling activities/ translations/ quality check (QC) in cooperation with external vendor
- Determine and process local fee payment when possible
- A minimum of a University degree or equivalent by experience in the business area of Regulatory – focuse on submission/variations
- Minimum 3 – 5 years of regulatory working experience in an equivalent position, preferred within the pharmaceutical industry
- Understanding of the pharmaceutical industry and regulatory experience in drug development and/or marketed products
- Base knowledge of local regulations and guidances in the region related to full drug life cycle
- Knowledge of quality and supply chain and potential impact to regulatory procedures and status of products
- Experiences in project management /planning, execution, prioritization and working in a virtual matrix organization
- Good communication skills and focus on urgency and priority
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Regulatory Management Lead Resume Examples & Samples
- Regulatory relationship manager and direct partner to the Bank’s onsite regulators and certain offsite regulator specialists from the various branches Federal Reserve Board system and others
- Coordinate and escalate daily continuous monitoring activities, supervise and direct targeted examinations, facilitate remediation of finding closure, and deliver on all facets of Regulatory Engagement
- Negotiate and maintain effective prioritization and strategic delivery in the face of completing goals, obligations, and responsibilities of each business area
- Drive multiple team-wide priorities including delivery of reporting and MIS, leadership briefing collateral, and all aspects of resourcing, including hiring and supervision of external contractors and other team members
- Set and maintain quality control over Regulatory Management Group brand
- As a team lead, responsible for team planning around objective setting and driving objectives management through year end, ensure your team’s compliance training requirements are timely met, and delivery of team workshops
- At least ten years of relevant work experience within the banking / financial services industry with solid knowledge of financial markets and risk management
- Regulatory background is a plus. Former regulator and / or supervisory experience even better
- Experience with client facing engagement, negotiation, and relationship management
- Savvy interpersonal skills with the ability to interact with colleagues at all levels of the organization and navigate with the highest level of confidentiality and discretion
- Strong business writing skills with ability to communicate complex ideas simply and convincingly, ask insightful questions, break analytical challenges into workable components, and draw meaningful conclusions
- Highly motivated, with strong organizational, analytical and problem solving skills, possessing follow through, ability to manage, monitor, track, and clearly communicate progress on multiple projects
- Strong program management / director experience
- Detail oriented with a sense of urgency and immediacy. Must be able to pick up an action at a moment’s notice, decipher “good enough” for the task at hand then follow up with polished product based on feedback and further clarification
- Navigate tight and non-negotiable deadlines, escalating issues when appropriate
- Display good judgment around prioritization and knowing what’s relevant and important to your regulator and your coverage area
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CIB & Corporate Risk Regulatory Management Analyst Role Resume Examples & Samples
- Ownership and maintenance of Risk’s proprietary exam management database
- Coordinate production of Risk’s weekly report summarizing regulatory engagements
- Maintain data recording Risk’s regulatory engagements in the firmwide system of record
- Maintain and enhance the reporting of Risk’s regulatory issues
- Support the creation of important and sensitive reports for the control committees, the Board and regulators
- Assist the Risk Control Oversight & Control group on specific cross-function initiatives and projects
- BA/BS in related field
- Previous experience in Risk Management, Compliance, Surveillance, Internal/External Audit or other control function a plus
- Basic knowledge of securities markets, risk management practices, and regulations desired. Knowledge of regulators’ exam processes and/or background in regulatory matters a plus
- Strong technical skills, especially with regard to data management and report creation –using Excel, Sharepoint, Powerpoint, Access, etc
