Senior Analyst Regulatory Resume Samples

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DR
D Reinger
Darrick
Reinger
20753 Pearl Flats
Phoenix
AZ
+1 (555) 112 5516
20753 Pearl Flats
Phoenix
AZ
Phone
p +1 (555) 112 5516
Experience Experience
Los Angeles, CA
Senior Regulatory Compl Analyst
Los Angeles, CA
Wuckert LLC
Los Angeles, CA
Senior Regulatory Compl Analyst
  • Maintain records of current and expired license files, and issues reports on pending and approved licenses/approvals
  • Demonstrated capabilities including
  • Self-starter who effectively and rapidly drives tasks to closure
  • Approve export and import shipments. Coordinate imports of unclassified and classified hardware with foreign parties to ensure proper customs paperwork is included and shipment is authorized under proper license exemptions
  • Review and approve presentations, briefings, documents and other information provided to foreign persons for compliance with licenses and regulations prior to release outside the company
  • Jurisdiction and classification determination reviews
  • Prepare export authorizations and miscellaneous correspondence for submittal to regulatory agencies
Chicago, IL
Senior Regulatory Adherence Analyst
Chicago, IL
Bernier Inc
Chicago, IL
Senior Regulatory Adherence Analyst
  • Perform testing/piloting of potential changes to business processes, and ensure effectiveness prior to implementation
  • Works with less structured, more complex issues
  • Support the collection of data for regulatory filings, coordinate and develop reports, projects, assessment tools to verify compliance
  • May develop compliance communications and drive problem resolution for a business
  • Generally work is self-directed and not prescribed
  • Develop/recommend solutions to identified business process problems/issues
  • Identify/analyze potential solutions to business process problems/issues (e.g., process simplification, quality improvement, process accuracy)
present
Dallas, TX
Senior Analyst, Regulatory Oversight Reviews
Dallas, TX
Schulist Group
present
Dallas, TX
Senior Analyst, Regulatory Oversight Reviews
present
  • Strong work ethic, initiative, teamwork and flexibility to assist department in meeting organizational goals
  • Provides comprehensive written and verbal reports to executives and management, including information relating to regulatory concerns noted during examinations
  • Provide comprehensive written and verbal reports to executives and management, including information relating to regulatory concerns noted during examinations
  • Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities
  • Manage OSJ exams to ensure compliance with SRO rules, Firm Policy and recent regulatory developments or findings
  • Provide advice and consultation to business, compliance, and legal partners across the company on potential regulatory situations as they arise
  • Provide day-to-day advice on Oversight reviews and regulatory issues to the business as they arise
Education Education
Bachelor’s Degree in Computer Science
Bachelor’s Degree in Computer Science
Quinnipiac University
Bachelor’s Degree in Computer Science
Skills Skills
  • Adapt to changing priorities in pressure situations
  • Build strategic internal work relationships
  • Compelling written and oral communications
  • Identify opportunities for continuous improvement
  • Plans and organizes to meet deadlines
  • Strategic thinker
  • Negotiating skills
  • Intellectual curiosity
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9 Senior Analyst Regulatory resume templates

1

Senior Regulatory Systems Analyst Resume Examples & Samples

  • Creating and implementing new data visualizations using third party visualization tools
  • Developing new, creative analytical methods and processes to mine the regulatory data warehouses and enhance order and trading pattern identification algorithms
  • Identifying and reviewing new tools and technologies, including machine learning, predictive modelling, and statistical analysis, that can be leveraged to improve the efficiency and effectiveness of regulatory data analysis
  • Performing thorough functional testing of regulatory applications to ensure the implementation of accurate and defect free applications and algorithms that adhere to the defined requirements
  • Managing multiple concurrent analysis efforts with business and IT teams to ensure on-time delivery of regulatory systems and initiatives
  • Establishing constructive relationships with the development team to ensure deep understanding of functional requirements and business processes that affect coding and data modelling decisions
  • Bachelor’s degree in computer science, mathematics, data analytics, statistics, informatics, economics, or similar concentration
  • Programming experience and a strong understanding of SQL and database concepts
  • Excellent problem solving skills and the ability to quickly learn, understand, and apply business and technology concepts
  • Strong knowledge of Microsoft Office, particularly Microsoft Excel
  • Knowledge of derivatives, trading, clearing, and regulatory compliance
  • Prior experience with Agile and traditional software development methodologies
  • Understanding of machine learning and statistical analysis
  • Expertise in systems development, and project management
2

Senior Analyst Marketing Regulatory Review Corporate Resume Examples & Samples

  • In a consultative manner, analyze marketing materials and other forms of communication with the public from our internal departments as well as third party marketing vendors and provide principal approval or instructions to change the material in order to provide approval
  • Research and address instances where firm’s policies regarding communications with the public are not being followed
  • Minimum of 3+ years of relevant experience
  • The Series 7 and Series 24 are required, other licenses are a plus
  • Marketing compliance review experience required
  • Strong working knowledge of Excel, Word, and Access
  • Knowledge of social media, complex products, financial planning software, retirement, investment analysis tools preferred
  • Must have excellent customer service skills and be able to communicate effectively
  • Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
3

Senior Analyst, Regulatory Supervision Resume Examples & Samples

  • Develop written supervisory procedures and related communications
  • Review and analyze new regulations issued via the enterprise regulatory alert system, identify key issues and determine the appropriate action (e.g., update to existing procedure, issuing a communication, etc.) to ensure compliance and execution of FINRA, federal and state regulations as it pertains to our field force
  • Manage and take ownership of multiple special projects regarding insurance and securities regulations, company policy/procedures changes, and key departmental initiatives
  • Involved with the design, development, delivery and oversight of training specific to insurance and securities regulatory matters for our field associates
  • Support and advise assigned territory's field management with their operational effectiveness by providing guidance on policy and procedural matters and managing relationships with assigned members of field management
  • Partnering, influencing and negotiating with compliance, law, risk and other business partners to accomplish the above tasks
  • Evaluating requests for exceptions to policies and procedures
  • Strong partnering and negotiating skills
  • Highly motivated and organized and must have the ability to concurrently prioritize and handle multiple projects and tasks, required
  • Possess solid knowledge of the principles/concepts/practices of the compliance discipline and be able to apply this knowledge to new assignments
  • Minimum 3 years of general compliance experience a plus
  • Understanding of Prudential products and/or functions a plus
4

Senior Analyst, Regulatory Supervision Resume Examples & Samples

  • Mininum of 3 years experience working in a compliance or regulatory environment
  • Must be customer focused and service oriented
  • Excellent oral and written communication, analytical and problem solving skills
  • Strong interpersonal, collaboration and negotiation skills
  • Experience working directly with multiple levels of leadership
  • Proficient with Microsoft Office, Excel, Powerpoint, and Word
  • College degree preferred but will consider equivalent work experience
  • Experience working with financial professionals a plus
  • Call center experience a plus
  • Series 6 license a plus
5

Senior Analyst, Regulatory Supervision Resume Examples & Samples

  • Strong organizational and project management skills
  • General knowledge of Prudentials policies, processes and procedures preferred
  • Strong business writing skills
  • Minimum 2 years of general compliance/supervisory background
  • General knowledge of Broker-Dealer issues (FINRA, SEC, etc.)
  • Series 6 required & Series 26 preferred (Will have to obtain within 90 days of hire)
  • Strong background in Microsoft Word, Excel and PowerPoint, and Adobe Acrobat
  • Ability to learn and use proprietary systems
6

Senior Business Analyst Regulatory Projects Resume Examples & Samples

  • Manage requirements gathering, adopt a structured methodology (RUP equivalent)
  • Be hands on, update artifacts, work closely with Operations and Tax counsels
  • Understand the complex regulations and chart out the dependencies
  • Participate in recruitment, hiring, on boarding, and integration of new team members
  • Raises and tracks issues and conflicts, removes barriers, resolves issues of medium complexity involving stakeholders and escalates to appropriate level where required
  • Take an active approach to risk management of the projects, identifying and clearing obstacles and issues before they become a problem
  • Work collaboratively with Operations, the Front office and the other functions (Finance, Risk) to articulate change and strategy
  • Manage priorities and issues within the team, mediating and resolving conflicts to develop strong cross team cooperation
  • Seek out industry trends and organization knowledge to understand alternative approaches / solutions
  • Sustained record of achievement delivering material change within Capital Markets environments
  • Knowledge of capital markets products
  • Ability to communicate and work effectively with business and IT teams
  • High level of experience tracking project budgets and resource planning and assist the program manager on governance
  • Provide status updates, reports to sponsors
7

Senior Analyst, Marketing Regulatory Review Resume Examples & Samples

  • Provide superior customer service to financial advisors and their staff, financial institutions, and home office employees by handling inquiries via phone and email, with a focus on overall service
  • Research complex situations, set customer expectations, and define the actions necessary to resolve the situation
  • Communicate operational and financial industry policies and procedures
  • Answer 50 - 60 incoming calls per day from Advisors and their support staff, Financial Institutions and other members of the firm
  • Located in the San Diego Office
  • Bachelor's degree in related field
  • 1-2 years of previous customer service experience
  • 1-2 years of financial services experience required, Marketing Regulatory Review experience preferred
  • Series 7, 24 and 66 required
  • Knowledge of FINRA, SEC, MSRB and State rules and regulations
  • Strong MS Office skills, Salesforce experience preferred
  • Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized
8

Senior Analyst, Regulatory Supervision Resume Examples & Samples

  • Assist with Global Portfolio Strategies, Inc., a wholly owned subsidiary of Prudential Financial, Inc. and a Registered Investment Advisor. Support includes reviews of and development of policies and procedures as well as performance of monitoring of process and procedures performed by both operations and investment teams and support annual audits
  • Review correspondence and social media postings for compliance with rules/regulations, summarize review statistics and escalate issues found in reviews to management
  • Support other compliance and licensing related activities as necessary including research and coordination with business partners
  • Minimum of 3-5 years of financial services experience; Retirement Services or Investments preferred
  • High quality of work is required including a strong attention to detail
  • Strong time management, ability to work well under deadlines, handle multi-tasking environment, and make good judgments about competing priorities
  • Effective partnership skills and strong communication skills
  • FINRA Series 6 and 26 required at or within 120 days of employment
  • Strong project management skills, the ability to balance team orientation with ability to work independently
  • Demonstrated ability to focus on and take ownership for results (i.e.: quality, deadlines, goal-setting, and process improvement)
  • Understanding of investment concepts and/or products within retirement market
  • Well developed oral and written communication skills, ability to translate complex ideas into clear and simple format
  • Ability to demonstrate a pattern of results in achieving desired behavioral outcomes
9

Regulatory Assurance Senior Analyst Resume Examples & Samples

  • Conduct targeted and thematic compliance assurance reviews across both retail and wholesale markets
  • Perform periodic testing of compliance obligations against regulations and policies, and advise on practical solutions to improve processes and control design and performance
  • Facilitate risk assessments with business stakeholders to promote better understanding of compliance requirements and control frameworks
  • Engage with stakeholders to ensure risks are being managed consistently and activities are being co-ordinated efficiently
  • Keep up-to-date with relevant regulations and industry standards
10

Senior Analyst, Regulatory Supervision Resume Examples & Samples

  • Minimum of 3 years experience working in a compliance or regulatory environment
  • Excellent oral and written communication, analytical and problem solving skillsStrong interpersonal, collaboration and negotiation skills
  • Series 6 license, or will be required to obtain within 120 days of start date
11

Senior Analyst, Regulatory Accounting Resume Examples & Samples

  • 30% - Under limited direction, support the review/audit of selected indirect cost accounts and unallowable overhead projects in the effort to support the annual preparation of its proposal to establish final indirect cost rates. This task also requires specifically addressing allowability and providing justification in accordance with the Federal Acquisition Regulations (FAR)
  • 30% - Coordinate, monitor and report efforts amongst the Finance, Accounting, HR, Procurement, Legal and Contracts departments, in order to meet key deliverables to DCAA on post-award audits. Would also work defective pricing matters if they would surface/exist
  • 15% - Support a documentation and data process, whereby all essential departmental and governmental documents can be stored and easily found upon request. This includes creating new documentation, as well as updating previous documentation
  • 5% - Provide guidance and informational resource for Cost Accounting Standards (CAS) and performs regulatory reviews and assessments to CAS and FAR standards as necessary. Works with internal AGC customers to provide regulatory compliance guidance on an ongoing basis
  • 5% - Assist in maintaining the Disclosure Statements and perform cost impacts related to accounting practice changes when they occur
  • 5% - Support the preparation of the indirect cost proposals and incurred cost claims
  • 5% - Develop and maintain command media (policies, procedures and directives) related to regulatory compliance and assist other functions in reviewing command media for regulatory compliance matters and concerns
  • 5% - Support training efforts within the scope the Regulatory Compliance Program
12

Regulatory Compl Analyst Senior Resume Examples & Samples

  • Ability to assess various contracting alternatives for compliance with the Federal regulations, prime contract requirements and corporate and company policies and procedures
  • Proven ability to work independently and as a team member
  • Good interpersonal, communication (written, verbal and presentation), organizational and analytical skills
  • Demonstrate sound judgment and tact
  • Highly motivated and self directed
  • Good problem analysis and problem solving skills
  • Knowledge of the Federal Acquisition Regulations and the Department of Defense Federal Acquisition Regulations Supplement
  • Law Degree
  • Experience in Federal procurement law and the Uniform Commerical Code
  • Knowledge of Lockheed Martin CorpDocs
13

Senior Regulatory Adherence Analyst Resume Examples & Samples

  • Superior oral, written communication and interpersonal skills required
  • Bachelor's Degree (or higher) OR High School Diploma/ GED with at least 3+ years of experience working in a Government or Healthcare environment with experience in Medicaid Compliance, Regulatory and/or Legal
  • Knowledge of Medicaid Appeals Rules and Regulations
  • Experience with facilitating meetings and building collaboration between cross functional areas
14

Senior Analyst, Regulatory Accounting Support Resume Examples & Samples

  • Supports the coordination and preparation of information for compliance filings
  • Responsible for supporting the response to data request and to support regulator commentaries, re-hearings and filings in coordination with legal and Regulatory and Pricing
  • Completes and updates maintenance of regulatory accounting documentation
  • Executes finance activities received by state regulatory agencies
  • Monitors financial regulatory compliance to ensure filings and requirements filed timely
  • Performs regulatory asset and liability calculations and maintains general ledger
  • Reviews deferral variances by working with accounting and adhering to US GAAP and SOX guidelines
  • Assists Manager, Regulatory Support by collecting supporting documentation for the use between NGUSA, regulators and external auditors
  • Monitors compliance with implementation plan and provides ongoing quarterly updates
  • Coordinates development of implementation plans and files with regulators
  • Supports the update of systems to capture evolving regulatory information, as needed to support filings
  • Responsible for supporting financial and non-financial controls to meet business requirements
  • Regulatory filings
  • Compliance and implementation
  • Process Management
  • Close processes
  • Bachelor’s Degree (accounting or finance preferred)
  • 3+ years’ experience in accounting roles with increasing responsibility
  • Knowledge of general ledger platforms and accounting system experience
  • Knowledge of general accounting or related specialized accounting discipline
  • Excellent written / oral communication skills, follow-up, and negotiation skills
15

Senior Regulatory Adherence Analyst Resume Examples & Samples

  • Monitors changes to laws and regulations to ensure compliance with State & Federal laws, regulations and mandates
  • Read and analyze state Medicaid contracts and state laws
  • Establish and implement standard policies, procedures, processes and best practices across UHG to promote compliance with applicable laws and contractual obligations
  • Conduct state-specific legal research and monitor changes to requirements to mitigate risks and achieve compliance
  • Support the collection of data for regulatory filings, coordinate and develop reports, projects, assessment tools to verify compliance
  • Handles multiple deliverables at one time and lead them to completion
  • May develop compliance communications and drive problem resolution for a business
  • 3+ years Medicaid/Medicare legal or regulatory compliance experience
  • 1+ year Data Analysis experience
  • Experience facilitating Audits
  • Experience using CareOne and HRS/ICUE platforms
  • Intermediate Microsoft skills including Excel, Word, and PowerPoint
16

Senior Data Analyst Risk & Regulatory Resume Examples & Samples

  • Understand complex data flows of Brokerage and Advisory platforms at LPL and provide data mapping for implementing the compliance solutions
  • Provide data analysis reports by profiling significant amounts of data in the compliance applications
  • Provide technical assistance in identifying, evaluating and recommending solutions to data issues in the Compliance applications
  • Serve as Subject Matter Expert on the data used by the Compliance applications
  • Create high level business process flow and data analysis flow documents
  • Responsible for partnering with the Development and Testing teams in support of effective testing and validation of data related to compliance applications
  • Communicate with technical and non-technical groups on a regular basis as part of product/project support
  • Detect and solve technology delivery issues effectively. Strong problem solver
  • 7+ years of professional software development/analyst experience
  • Strong SQL experience and understanding of relational databases – MS SQL Server and Oracle
  • Financial Compliance platforms support experience is preferred
  • Excellent verbal and written communication skills with both technical and non-technical audiences
  • Ability to interface with customers to gather business needs and to present solutions
  • Capable of effectively planning, prioritizing and executing tasks utilizing resources and tools
  • Experience working with remote teams, vendors and contingent/SOW staff
  • Experience with Mantas/Actimize solutions is a plus
  • 7+ years of experience working with MS SQL Server/Oracle to produce different documentation supporting implementations, business and data analysis flows
  • 3+ Years of experience working with Unix and Windows environments
  • 3+ Years of Analyst experience with financial capital markets and Compliance systems like Actimize/Mantas/Protegent
  • Demonstrable data profiling/analysis skills, including the ability to analyze and recognize trends in data
  • Knowledge of brokerage/dealer and advisory business and process including understanding of trade life cycle, measurement of risk sensitivities
  • Ability to effectively communicate utilizing written and verbal communications skills with business partners, and be able to work in very dynamic, fast paced environment
  • Exemplary collaboration, interpersonal, and presentation skills
  • Superior skill and ability in multi-tasking and appropriate prioritization
17

Senior Data Analyst, Risk & Regulatory Resume Examples & Samples

  • Communicate with technical and non-technical groups on a regular basis
  • Implement strategies that will help us optimize the quality of data production
  • Keep abreast of new systems or process changes to ensure accurate responses are provided for inquiries
  • Strong MS SQL Server query development skills are required
  • Experience in SSIS data import export is required
  • Oracle query development experience is preferred
  • Excellent communicator, tactful in interacting with business partners at all levels and external stakeholders
  • Experience working within complex financial services data environments is preferred
  • Understanding of various financial products, including mutual funds, equities, bonds and annuities is preferred
  • BS or MS in a technical discipline
18

Senior Regulatory & Governance Analyst Resume Examples & Samples

  • Working with the regulatory affairs executives in the wider bank, s/he will be responsible for the research and analysis of regulatory/Governance changes, specifically to determine the impact and implications on and for the business and its client base
  • S/he will be responsible for developing and making senior level external and internal presentations of findings to relevant stakeholders as a function of the research and analysis work undertaken. Attending industry meetings, conferences, meetings with the regulators and other interested parties including lawyers and compliance executives be a significant part of this role
  • Following the research, analysis and meetings with business stakeholders, s/he will be expected to develop comprehensive strategic plans in partnership with a program manager to implement the required regulatory changes. S/he will help the business management to track performance to plan and monitor key process/project deliverables
  • S/he must identify potential for risk and oversee that project management is fully cognizant of such risks and supports the management of changes/issues that arise in the course of the execution
  • Detailed knowledge of a Fund Service Provider organisation is not an absolute requirement, but would be useful
  • Industry knowledge will be necessary to enable the person to understand the impact of regulatory/Governance change and be able to develop strategic solutions and responses that are viable for The Firm
  • Previous experience of understanding and advising how a business line can fit its working practices to the functional requirements of any relevant regulations, as well as communicating this in a practical manner to senior management in order to meet project goals and aims
  • Ability to think strategically as to how regulatory change affects the business, and be able to work with senior management to influence their decision making and ensure strategic solutions proposed are implementable
  • An understanding of the Compliance environment will be an advantage
  • They must be highly influential, clear thinking and a strong leader to ensure that regulatory changes are thoroughly researched, communicated, discussed comprehensively with stakeholders and built into timely work plans
  • They will need strong negotiation skills and be a clear and precise thinker
19

Senior Regulatory Privacy & Information Security Analyst Resume Examples & Samples

  • Proven experience in privacy, security, compliance, education or healthcare field, as typically acquired during 6-8 years in a similar position
  • Proven experience overseeing the planning, execution, and management of a variety of regulatory, investigative, and educational-based projects
  • Previous experience working directly with state and federal regulatory agencies
  • Proven experience overseeing a team and ensuring compliance with all applicable state and federal laws and regulations
  • Thorough knowledge federal and state privacy regulations, including HIPAA, HITECH, CMIA
  • Extensive knowledge of existing and emerging federal and state requirements related to privacy and security of health information
  • Proven ability to maintain a high level of confidentiality
  • Proven ability to follow through, meet deadlines, anticipate requirements and build relationships with staff and leaders across the organization
  • Proven ability to collaborate with departments and leaders across the organization
  • Demonstrated ability to lead, develop, and supervise a team
  • Demonstrated comfort level with internal systems or demonstrated ability to learn new systems preferred
20

Senior Regulatory Privacy Analyst Resume Examples & Samples

  • 6-9 years of experience in privacy, compliance, or other related healthcare field required
  • Must be able to think strategically, execute tactically, and build relationships across the organization to encourage a collaborative work environment
  • Experience in a healthcare company with knowledge of existing and emerging federal and state requirements related to privacy and security of health information
  • Strong professional interpersonal skills
  • Demonstrated ability to set priorities and to respond to changing demands from multiple sources in a fast-paced environment
  • Ability to follow through, meet deadlines, anticipate requirements, and build relationships
  • Must be able to work collaboratively in a team environment with minimal supervision
  • Demonstrated comfort level with internal systems or demonstrated ability to learn new systems
  • Proven analytical, problem-solving, and decision-making skills
  • Must have a reputation for integrity and willingness to challenge higher levels of management on issues arising through the Ethics and Compliance and Privacy programs
  • Must exhibit a credible leadership presence with the ability to respond to questions with logic, clarity, calmness, and authority, leading to desired support of and actions by others
  • Works effectively in a consensus-driven organization and does not compromise privacy objectives
  • Experience in working directly with state and federal regulatory agencies
  • Knowledge of personal computers and relevant applications
21

Senior Insurance Regulatory Policy Analyst Resume Examples & Samples

  • Travel 1-5 nights per month
  • Applying the economic, financial, and legal concepts associated with insurance companies and broad knowledge of financial institutions, including financial intermediaries and their structures; and
  • Analyzing information and data and drawing conclusions in order to make recommendations; and
  • Using economic, financial, and legal concepts associated with insurance companies and broad knowledge of financial institutions, especially all types of financial intermediaries and their structures; and
  • Utilizing financial laws and regulations including Dodd-Frank and the State and Federal financial regulatory structures; and
  • Working for or on behalf of an insurance company, broker, or supervisor (federal or state) of the insurance industry
22

Regulatory Financial Analyst Senior Resume Examples & Samples

  • Bachelor's degree in accounting or a related field
  • 7+ years of experience in accounting and/or financial reporting, including knowledge of bank regulatory reporting
  • Comfortable working in a team environment and supervising staff
  • Working knowledge of Microsoft Office with Outlook, Excel, Access, and/or Essbase knowledge a plus
23

Regulatory Senior Business Analyst & Project Manager Resume Examples & Samples

  • Create, update and maintain all project artifacts (roadmaps, milestones, issues log,…)
  • Work with all stakeholders on the project (IT, Operations, Compliance, etc)
  • Track deliverables progress and follow-up with stakeholders in various regions (NY, Paris, London,…) to capture progress, issues, delays, etc
  • Escalate issues to Program Manager
  • Organize project meetings: operating committees, steering committees to report on project progress and resolve issues
  • Gather requirements from a wide-array of stakeholders (Legal, Compliance, Operations, IT, etc)
  • Contribute to the design and/or enhancement of business processes
  • Conduct gap analysis and impact analysis
  • Drive the design of business solutions and/or contribute to their elaboration
  • Syndicate and validate solutions proposals with a wide-array of stakeholders (Legal, Compliance, Operations, IT, etc)
  • Knowledge of/experience in the financial industry
  • Knowledge of Trading Lifecycle
  • Understanding of Project Management and Software Development lifecycles
  • Knowledge of DFA Title VII rules
  • Ability to work collaboratively in a team environment with people on site as well as people in remote location (Paris, London)
  • Strong and clear communication (verbal and written), ability to adjust communication style to audience
  • Strong organization skills
  • Must be dependable and self-motivated
  • High flexibility / Ability to manage time and task independently
24

Regulatory Compl Analyst Senior Resume Examples & Samples

  • Bachelor’s or Master’s from an accredited college or university with a business or supply chain degree
  • Must be a US Citizen or legally authorized to work in US as a permanent resident. This position is located at a facility that requires special access
  • Extensive knowledge and experience with the requirements of the Six Key Business Systems as defined in DFARs: Purchasing, Material Management and Accounting, Property Management, Estimating, Earned-Value, and Accounting
  • Extensive experience in supporting audits performed by various audit agencies (Defense Contract Audit Agency DCAA, Defense Contract Management Agency DCMA, British Standards Institute BSI, Inspector General's Office, General Accounting Office GAO, Federal Aviation Administration FAA) and internal audit functions
  • Knowledgeable of international procurements laws and regulations
  • Ability to skillfully apply knowledge to strengthen purchasing system processes and compliance
  • Effective in training Supply Chain Management SCM professionals with varying levels of knowledge, skills and experience
  • Ability to build effective relationships with peers and other subject matter experts throughout the company
  • A background in continuous improvement tools and techniques including their application to business processes a major plus. These techniques will include value-stream-mapping, 6S and visual management, electronic information flow, mistake proofing and standard work. Past participation on continuous improvement teams and facilitation skills are a plus
  • Position requires a self-starter that is willing to tackle any assignment with the ability to work effectively under deadlines and pressure
  • Good working knowledge of SAP business system with emphasis on understanding the Procurement module is a plus
25

Senior Business Systems Analyst Regulatory & Quality Resume Examples & Samples

  • Strong ability to manage and collaborate with different cultures and nationalities
  • Organizational and project management skills a plus
  • Possess and display sound judgment; initiative; flexibility and detail-orientation
  • Provide mentorship to more junior Business System Analysts
  • Competent in handling multiple tasks with attention to detail, and perform duties with minimal supervision
  • Ability to map, troubleshoot, and optimize interfaces with multiple systems
26

Senior Regulatory Compl Analyst Resume Examples & Samples

  • Minimum two years direct experience in an International Trade Compliance setting
  • Extensive computer skills including MS Office applications
  • Demonstrated capabilities including
  • 4) Ability to interface effectively across levels with both internal and external stakeholders
  • Experience writing technical assistance agreements, manufacturing license agreements, and warehouse distribution agreements
  • Experience with the implementation of ITAR and/or EAR compliance programs
27

Regulatory Compl Analyst Senior Resume Examples & Samples

  • Broad ITAR and EAR licensing and/or compliance experience
  • Self-starter who effectively and rapidly drives tasks to closure
  • 1) Complete understanding and application of export control principles, concepts, practices, and standards
  • 2) Ability to develop solutions to complex export control issues
  • 3) Capability of operating under general direction while achieving organization objectives
  • Possess a bachelor's degree from an accredited institution
  • Experience supporting Foreign Military Sales (FMS), Direct Commercial Sales (DCS), and other unique government contracting scenarios
  • Familiarity with National Disclosure Policy
  • Familiarity with bilateral and multilateral export control regimes (e.g., Missile Technology Control Regime, UK and Australia Defense Trade Treaties, Wassenaar Arrangement)
28

Senior Regulatory Permiting Analyst Resume Examples & Samples

  • 8+ (eight) years of experience in a regulatory role, with a preference to 10+ years of experience, preferably related to filing for drilling permits and/or well completion records with the Railroad Commission of Texas
  • Candidates will possess a working knowledge of agency rules, regulations and processes, including the Railroad Commission of Texas, the New Mexico Oil Conservation Division, US Bureau of Land Management, US Army Corps of Engineers, TCEQ, USFWS, FAA, and EPA, and will be proficient in the efficient and accurate preparation of a variety of local, state and federal regulatory filings required to timely procure the necessary permits and/or approvals for drilling, completion, and operations of upstream oil and gas activities
  • Applicants must be willing to work with and support a diverse group of Regulatory professionals in an environment where meeting deadlines is critically important
  • This position will support efforts to develop new processes and procedures based on results of Regulatory workflow assessments and/or changes in local, state and/or federal regulatory requirements
  • The incumbent will process regulatory reporting data and must ensure that proper analysis and reporting methodologies are employed
  • The incumbent is expected to possess the skills and desire to assist the Regulatory team in effectively and efficiently driving knowledge transfer regarding Regulatory issues and processes across the Delaware Basin Business Unit organization
  • Applicants must possess the ability to learn and utilize network systems and applications and should possess a proficiency in the use of Microsoft Office Suite (including Word, Excel, Outlook, Power Point, etc.)
  • Applicants must be able to effectively interface with a wide variety of stakeholders, both internal and external, and communicate effectively through both written composition and verbal delivery
  • The incumbent will exhibit an ability to manage one's time, set priorities and manage a heavy workload
  • This position requires strong analytical and organizational skills including those skills necessary to critically review and summarize the lifecycle of a complex projects to aid in the decision-making process
  • Additional duties will include assisting with special projects as assigned by departmental managers and organizing and maintaining the department’s records and internal weekly reports
  • The incumbent must be able to research laws, regulations and agency procedures pertaining to oil and gas operations in order to develop improved regulatory strategies
  • The incumbent will provide guidance and will mentor the less experienced regulatory staff in developing efficient workflow processes, informative regulatory reports and in researching regulatory requirements
  • The incumbent will assist with special projects as assigned by the Director of Regulatory and External Affairs and will be responsible for ensuring that the department’s records are efficiently organized and maintained
29

Senior Analyst, Regulatory Oversight Reviews Resume Examples & Samples

  • ​Drive analysis, dialog and structural decision-making around all risk-oriented facets across all major business units as it relates to internal processes and procedures
  • Manage, lead and conduct assigned oversight reviews (approximately 2-3 a quarter depending upon scope and breadth of review) in order to mitigate and identify risk to the firm to determine compliance with established firm standards and regulatory rule requirements
  • Obtain a thorough understanding of key rules and regulations and significant risks of assigned reviews in order to assess risks and business unit impacts of daily operations across all business units of the firm
  • Monitor Compliance, Internal (Corporate) Audit, and SRO examination results as well as SRO rules and published guidance in order to identify possible risks to the firm
  • Meet regularly with Compliance Executives, Compliance Directors and Managers to identify reviews that need to be conducted and are high priority. Evaluate the risk and prioritize reviews
  • Manage all aspects of review, including researching applicable rules, developing modules, interview questions and files and records requests tailored to each review
  • Supervise, test, and verify internal controls and document opportunities to improve policies, controls, reports, or testing and verification processes. Observe departmental practices, interview associates, and collect additional data for further analysis. Obtain, analyze, and appraise data as a basis for an informed objective opinion on the adequacy and effectiveness of systems
  • Facilitate discussion between Compliance and key business unit associates addressing any deficiencies identified over the course of the review, areas that may not have tested as deficient but would benefit from enhanced controls, and recommendations made by Compliance
  • Provide comprehensive written and verbal reports to executives and management, including information relating to regulatory concerns noted during examinations
  • Formulate plans and determine necessary corrective actions to take with executives in order to address any examination findings or material weakness identified
  • Manage OSJ exams to ensure compliance with SRO rules, Firm Policy and recent regulatory developments or findings
  • Analyzes internal and supervisory controls in key areas of risk such as trading activity, exception reporting, proprietary records, supervisory control procedures and electronic communications to evaluate broker-dealer systems and determine quality, reliability and compliance with rule requirements
  • Identify sales practice trends, regulation risks and supervisory deficiencies in order to mitigate risk to the firm, ensuring the safeguarding of assets and compliance with established policies, procedures, laws, and regulations
  • Obtain, analyze, and appraise data as a basis for an informed objective opinion on the adequacy and effectiveness of systems
  • Develop exam modules based upon Written Supervisory Procedures, rules and regulations and other risk analyses
  • Provides comprehensive written and verbal reports to executives and management, including information relating to regulatory concerns noted during examinations
  • Formulates plans and determines necessary corrective actions to take with executives in order to address any examination findings or material weakness identified
  • Provide technical expertise and direction to volunteers in the areas of internal controls evaluation and rule requirements including all phases of planning, evaluation, documentation, testing and remediation
  • Proactively work to stay abreast of changes to regulatory supervisory requirements and work with the appropriate internal and business partners to make changes as necessary
  • Provide additional guidance on regulatory rules as they apply to supervision and the firm’s supervisory structure
  • Create tests as necessary
  • Work in collaboration with other members of the Compliance team and business units by testing and/or reviewing policies and procedures for AMTD businesses
  • Provide day-to-day advice on Oversight reviews and regulatory issues to the business as they arise
  • Establish and maintain good client relations, and demonstrate solid understanding of the client’s business
  • Collaborate with key personnel to discuss risk topics and review directions
  • Conduct effective interviews with senior executives, management and other staff in obtaining an understanding of client’s business
  • Facilitate discussion between Compliance and key business to advise on deficiencies and best practices / remediations to business leaders and senior management, clearly communicating the issue elements with accuracy
  • Collaborate on remediation plans and hold business units accountable for review findings as it relates to internal policies and procedures
  • Solicit volunteers to serve on oversight reviews depending upon interest and availability. Coordinate with Compliance personnel to solicit volunteers for reviews and develop, manage and lead a team of possibly 2-3+ individuals while conducting reviews. Use effective project management techniques in order to conduct reviews in a timely manner
30

Senior Regulatory Adherence Analyst Resume Examples & Samples

  • Ensuring we are meeting regulatory adherence requirements
  • Medicaid Subject Matter Expert
  • Ability to read and analyze state Medicaid contracts and state laws
  • Drive compliance activities
  • Facilitate internal and external state audits
  • Proficient in Microsoft products, specifically excel
  • Ability to analyze data to determine compliance with Medicaid UM rules
  • Bachelor's Degree(or higher) or HS Diploma/GED with 3+ years of experience in legal, regulatory, or compliance
  • 3+ years of experience in Medicaid regulatory / documentation compliance work
  • Intermediate level of proficiency with MS Word, Excel and PowerPoint
  • Knowledgeable on Medicaid federal, contractual and state rules
31

Senior Client Regulatory Transition Analyst Resume Examples & Samples

  • 6+ years of experience in Financial Services and/or Management Consulting
  • Particularly subject-matter knowledge of KYC/AML, FATCA, Dodd-Frank, EMIR and other global-specific regulatory requirements
  • Advanced Excel (e.g., pivot tables, VLOOKUP), PowerPoint, Word, and Sharepoint skills a must; proficiency with market data systems is a plus
  • Maturity to work as a leader with senior level professionals
  • Communication skills: responsive, polite, clear, and succinct. Has confidence to work with senior salespeople and sensitive clients. Can communicate effectively in writing
  • Highly organized, can handle multiple issues simultaneously, can work under pressure, and clearly communicate status to manager
32

Senior Analyst Regulatory Resume Examples & Samples

  • Demonstrated expertise related to state and/or federal regulations
  • Demonstrated expertise related to time and/or project management principles
  • Strong understanding Scotts product categories a plus
  • Awareness of other relevant chemical regulations (e.g. OSHA, VOC, Prop 65)
  • Adapt to changing priorities in pressure situations
  • Build strategic internal work relationships
  • Compelling written and oral communications
  • Identify opportunities for continuous improvement
  • Focuses on internal and external customer needs
  • Plans and organizes to meet deadlines
  • Intellectual curiosity
33

Senior Regulatory Adherence Analyst Resume Examples & Samples

  • Bachelor's Degree (or higher) or High School Diploma / GED with experience in legal, regulatory, or compliance
  • Experience in Medicaid regulatory / documentation compliance work
  • Intermediate level of proficiency with Microsoft Word, Microsoft Excel and Microsoft PowerPoint
34

Senior Regulatory Adherence Analyst Resume Examples & Samples

  • Maintain awareness of changes to applicable laws and regulations impacting claims business processes (e.g., Healthcare Reform/PPACA, CMS, state regulations)
  • Translate and incorporate changes to laws and regulations for use in applicable business process documents (e.g., process summaries, instructions, procedures)- Functional SME
  • Manage external and internal audit preparation
  • Perform research to identify business requirements (e.g., interviews, observation, focus groups)
  • Obtain and validate business requirements from applicable stakeholders (e.g., using health plan documentation, provider manuals, national regulatory lists, etc.)
  • Utilize applicable service standards and other key performance metrics to drive identification of potential problems/issues/opportunities (e.g., performance guarantees, service level agreements, state contract requirements)
  • Leverage applicable industry standards/benchmarks, and identify opportunities for improvement
  • Identify/analyze potential solutions to business process problems/issues (e.g., process simplification, quality improvement, process accuracy)
  • Develop/recommend solutions to identified business process problems/issues
  • Identify applicable stakeholders and obtain appropriate approvals/buy-in for recommended process improvements (e.g., leadership, business partners)
  • Develop appropriate measurement approaches/metrics to evaluate the effectiveness of recommended solutions/process changes (e.g., financials, reporting TATs, performance guarantees)
  • Perform testing/piloting of potential changes to business processes, and ensure effectiveness prior to implementation
  • Ability to manage work and deliver results with little oversight
  • Resource to leadership
  • Predicts emerging customer needs and develops innovative solutions to meet them
  • Leads large, complex projects to achieve key business objectives
  • Influences leadership to adopt new ideas, products, and/or approaches
  • Has segment-wide impact
35

Senior Regulatory Compl Analyst Resume Examples & Samples

  • Obtain, maintain and monitor applicable licenses, agreements, permits, certifications, technology release authorizations, and commodity jurisdiction determinations in compliance with applicable US Government regulations and company policies to support Raytheon programs
  • Prepare export authorizations and miscellaneous correspondence for submittal to regulatory agencies
  • Approve export and import shipments. Coordinate imports of unclassified and classified hardware with foreign parties to ensure proper customs paperwork is included and shipment is authorized under proper license exemptions
  • Review and approve presentations, briefings, documents and other information provided to foreign persons for compliance with licenses and regulations prior to release outside the company
  • Jurisdiction and classification determination reviews
  • Maintain records of current and expired license files, and issues reports on pending and approved licenses/approvals
  • Assist Empowered Official on interpretation of regulatory requirements or company EXIM policies and procedures
  • Review proposals, contracts, and/or purchase orders and participates in technical programmatic discussion/meetings
  • Participate in strategic business engagement at the program level to ensure business execution, growth and compliance
  • Support development of export related training and communications requirements for program area
  • Support in development and implementation of company and BU policy, procedures, guidelines and instructions to support compliance with US Government export/import regulations and company policy
  • Participate in special projects, cross-functional business projects and corporate projects to support business objectives
  • Minimum 2 years of broad Export/Import experience and increasing responsibility (licenses, agreements, compliance, and transactional activities)
  • Experience researching, interpreting and applying government regulations such as the ITAR and EAR
  • Flexible, cooperative and collaborative; demonstrated ability to adapt to changing US Government and customers conditions
  • Able to present recommendations to solve business challenges
  • Problem solver, able to work under time sensitive circumstances, collaboratively or independently, and take initiative to address situations before issues arise
  • Self-motivated and results oriented with ability to prioritize and make independent decision
  • Able to manage priorities of multiple tasks
  • Attention to detail and follow through on assignments to achieve desired results
  • Experience with D-Trade, SNAP-R, OCR EASE IT systems a plus
36

Regulatory Research Senior Analyst Resume Examples & Samples

  • Research, analysis, and interpretation of current, new, and/or changes in US regulatory requirements
  • Provide guidance for complex regulatory requirements, including translation and application of such into reports
  • Review and/or revise application of regulatory requirements across varying US regulator reports (including, but not limited to Federal Reserve, Bureau of Economic Analysis, FFIEC, OCC, etc.)
  • Documentation of the rationale for interpretation and application regulatory requirements, including identification of key business elements
  • Communication with regulatory reporting team regarding interpretation and application of regulatory requirements
  • Examination of financial information and data attributes provided by Regulatory Reporting team and other line of business members for disclosure in the Company's external regulatory reports
  • 5 to 8 years of accounting related experience
  • Bachelor's degree in Accounting
  • Strong financial aptitude and robust analytical skills
  • Excellent research skills
  • Big 4 Public Accounting Firm with experience in the financial services industry and/or Banking Industry experience
  • Experience in regulatory reporting group at a large financial services organization or regulatory agency or accounting standard setter (i.e., SEC, FASB)
  • Familiarity with system of record data terms, attributes and/or translations
  • Ability to work effectively with continuous change and short deadlines
  • Demonstrated business acumen, problem solving skills, intellectual maturity, and relationship management skills
37

Senior Quality Regulatory Review Analyst Resume Examples & Samples

  • 4 years of operational compliance or audit experience
  • 3 years of insurance, mortgage or financial services experience
  • 3 years utilizing data analysis and improvement tools
  • Associate or Bachelor’s degree (or equivalent) preferred
  • Knowledge of regulatory requirements governing the mortgage, insurance and/or financial services industry, and operational risk concepts
  • Ability to use MS Excel to enter and correct data, modify a workbook, format a worksheet
  • Ability to use MS Word for basic formatting, editing and printing function and understands the document page set up
  • Able to implement a review, research requirements, collect and verify review documentation, assist with preparation of preliminary and final reports
  • Demonstrated problem resolution skills
  • Demonstrated understanding of regulatory compliance governing the mortgage, insurance and/or financial services
38

Senior Credit Risk Analyst Regulatory Projects & ad hoc Requests Resume Examples & Samples

  • Be able to keep oversight and see the bigger picture
  • Be a good team player, able to contribute in a multi-cultural team
  • Be able to work independently and steer / coordinate team members
  • Fluency in English both written and verbal (work language)